401k Plan data: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN plan

PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

PROSPECT ENTERPRISES, INC. has sponsored the creation of one or more 401k plans.

Company Name: PROSPECT ENTERPRISES, INC.

Employer identification number (EIN): 951890952

NAIC Classification: 722300
NAIC Description: Special Food Services

Additional information about PROSPECT ENTERPRISES, INC.

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 2317532

More information about PROSPECT ENTERPRISES, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-12-01
001 2019-12-01 ERNEST Y. DOIZAKI 2021-09-14
001 2018-12-01 ERNEST Y. DOIZAKI 2020-09-11
001 2017-12-01 ERNEST Y. DOIZAKI 2019-09-13
001 2016-12-01
001 2015-12-01
001 2014-12-01
001 2013-12-01 ERNEST Y. DOIZAKI
001 2012-12-01 ERNEST Y. DOIZAKI
001 2011-12-01 ERNEST Y. DOIZAKI
001 2009-12-01 ERNEST Y. DOIZAKI
001 2008-12-01

Plan Statistics for PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2019: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-12-01 184
Total number of active participants reported on line 7a of the Form 5500 2019-12-01 0
Number of retired or separated participants receiving benefits 2019-12-01 0
Number of other retired or separated participants entitled to future benefits 2019-12-01 77
Total of all active and inactive participants 2019-12-01 77
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-12-01 0
Total participants 2019-12-01 77
Number of participants with account balances 2019-12-01 77
2018: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-12-01 178
Total number of active participants reported on line 7a of the Form 5500 2018-12-01 137
Number of retired or separated participants receiving benefits 2018-12-01 0
Number of other retired or separated participants entitled to future benefits 2018-12-01 47
Total of all active and inactive participants 2018-12-01 184
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-12-01 0
Total participants 2018-12-01 184
Number of participants with account balances 2018-12-01 75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-12-01 0
2017: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-12-01 199
Total number of active participants reported on line 7a of the Form 5500 2017-12-01 125
Number of retired or separated participants receiving benefits 2017-12-01 0
Number of other retired or separated participants entitled to future benefits 2017-12-01 53
Total of all active and inactive participants 2017-12-01 178
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-12-01 0
Total participants 2017-12-01 178
Number of participants with account balances 2017-12-01 81
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-12-01 1
2016: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-12-01 190
Total number of active participants reported on line 7a of the Form 5500 2016-12-01 147
Number of retired or separated participants receiving benefits 2016-12-01 0
Number of other retired or separated participants entitled to future benefits 2016-12-01 52
Total of all active and inactive participants 2016-12-01 199
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-12-01 0
Total participants 2016-12-01 199
Number of participants with account balances 2016-12-01 90
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-12-01 0
2015: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-12-01 370
Total number of active participants reported on line 7a of the Form 5500 2015-12-01 131
Number of retired or separated participants receiving benefits 2015-12-01 0
Number of other retired or separated participants entitled to future benefits 2015-12-01 59
Total of all active and inactive participants 2015-12-01 190
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-12-01 0
Total participants 2015-12-01 190
Number of participants with account balances 2015-12-01 93
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-12-01 1
2014: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-12-01 323
Total number of active participants reported on line 7a of the Form 5500 2014-12-01 287
Number of retired or separated participants receiving benefits 2014-12-01 0
Number of other retired or separated participants entitled to future benefits 2014-12-01 83
Total of all active and inactive participants 2014-12-01 370
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-12-01 0
Total participants 2014-12-01 370
Number of participants with account balances 2014-12-01 120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-12-01 0
2013: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-12-01 345
Total number of active participants reported on line 7a of the Form 5500 2013-12-01 257
Number of retired or separated participants receiving benefits 2013-12-01 0
Number of other retired or separated participants entitled to future benefits 2013-12-01 66
Total of all active and inactive participants 2013-12-01 323
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-12-01 0
Total participants 2013-12-01 323
Number of participants with account balances 2013-12-01 145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-12-01 0
2012: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-12-01 333
Total number of active participants reported on line 7a of the Form 5500 2012-12-01 252
Number of retired or separated participants receiving benefits 2012-12-01 0
Number of other retired or separated participants entitled to future benefits 2012-12-01 69
Total of all active and inactive participants 2012-12-01 321
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-12-01 0
Total participants 2012-12-01 321
Number of participants with account balances 2012-12-01 153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-12-01 0
2011: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-12-01 366
Total number of active participants reported on line 7a of the Form 5500 2011-12-01 262
Number of retired or separated participants receiving benefits 2011-12-01 0
Number of other retired or separated participants entitled to future benefits 2011-12-01 71
Total of all active and inactive participants 2011-12-01 333
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-12-01 0
Total participants 2011-12-01 333
Number of participants with account balances 2011-12-01 141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-12-01 4
2009: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-12-01 260
Total number of active participants reported on line 7a of the Form 5500 2009-12-01 173
Number of retired or separated participants receiving benefits 2009-12-01 0
Number of other retired or separated participants entitled to future benefits 2009-12-01 73
Total of all active and inactive participants 2009-12-01 246
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-12-01 0
Total participants 2009-12-01 246
Number of participants with account balances 2009-12-01 170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-12-01 5

Measure	Date	Value
2019: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-12-01	184
Total number of active participants reported on line 7a of the Form 5500	2019-12-01	0
Number of retired or separated participants receiving benefits	2019-12-01	0
Number of other retired or separated participants entitled to future benefits	2019-12-01	77
Total of all active and inactive participants	2019-12-01	77
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-12-01	0
Total participants	2019-12-01	77
Number of participants with account balances	2019-12-01	77
2018: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-12-01	178
Total number of active participants reported on line 7a of the Form 5500	2018-12-01	137
Number of retired or separated participants receiving benefits	2018-12-01	0
Number of other retired or separated participants entitled to future benefits	2018-12-01	47
Total of all active and inactive participants	2018-12-01	184
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-12-01	0
Total participants	2018-12-01	184
Number of participants with account balances	2018-12-01	75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-12-01	0
2017: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-12-01	199
Total number of active participants reported on line 7a of the Form 5500	2017-12-01	125
Number of retired or separated participants receiving benefits	2017-12-01	0
Number of other retired or separated participants entitled to future benefits	2017-12-01	53
Total of all active and inactive participants	2017-12-01	178
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-12-01	0
Total participants	2017-12-01	178
Number of participants with account balances	2017-12-01	81
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-12-01	1
2016: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-12-01	190
Total number of active participants reported on line 7a of the Form 5500	2016-12-01	147
Number of retired or separated participants receiving benefits	2016-12-01	0
Number of other retired or separated participants entitled to future benefits	2016-12-01	52
Total of all active and inactive participants	2016-12-01	199
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-12-01	0
Total participants	2016-12-01	199
Number of participants with account balances	2016-12-01	90
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-12-01	0
2015: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-12-01	370
Total number of active participants reported on line 7a of the Form 5500	2015-12-01	131
Number of retired or separated participants receiving benefits	2015-12-01	0
Number of other retired or separated participants entitled to future benefits	2015-12-01	59
Total of all active and inactive participants	2015-12-01	190
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-12-01	0
Total participants	2015-12-01	190
Number of participants with account balances	2015-12-01	93
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-12-01	1
2014: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-12-01	323
Total number of active participants reported on line 7a of the Form 5500	2014-12-01	287
Number of retired or separated participants receiving benefits	2014-12-01	0
Number of other retired or separated participants entitled to future benefits	2014-12-01	83
Total of all active and inactive participants	2014-12-01	370
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-12-01	0
Total participants	2014-12-01	370
Number of participants with account balances	2014-12-01	120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-12-01	0
2013: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-12-01	345
Total number of active participants reported on line 7a of the Form 5500	2013-12-01	257
Number of retired or separated participants receiving benefits	2013-12-01	0
Number of other retired or separated participants entitled to future benefits	2013-12-01	66
Total of all active and inactive participants	2013-12-01	323
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-12-01	0
Total participants	2013-12-01	323
Number of participants with account balances	2013-12-01	145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-12-01	0
2012: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-12-01	333
Total number of active participants reported on line 7a of the Form 5500	2012-12-01	252
Number of retired or separated participants receiving benefits	2012-12-01	0
Number of other retired or separated participants entitled to future benefits	2012-12-01	69
Total of all active and inactive participants	2012-12-01	321
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-12-01	0
Total participants	2012-12-01	321
Number of participants with account balances	2012-12-01	153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-12-01	0
2011: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-12-01	366
Total number of active participants reported on line 7a of the Form 5500	2011-12-01	262
Number of retired or separated participants receiving benefits	2011-12-01	0
Number of other retired or separated participants entitled to future benefits	2011-12-01	71
Total of all active and inactive participants	2011-12-01	333
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-12-01	0
Total participants	2011-12-01	333
Number of participants with account balances	2011-12-01	141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-12-01	4
2009: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-12-01	260
Total number of active participants reported on line 7a of the Form 5500	2009-12-01	173
Number of retired or separated participants receiving benefits	2009-12-01	0
Number of other retired or separated participants entitled to future benefits	2009-12-01	73
Total of all active and inactive participants	2009-12-01	246
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-12-01	0
Total participants	2009-12-01	246
Number of participants with account balances	2009-12-01	170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-12-01	5

Financial Data on PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2020 : PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-11-30	$0
Total income from all sources (including contributions)	2020-11-30	$807,543
Total loss/gain on sale of assets	2020-11-30	$0
Total of all expenses incurred	2020-11-30	$2,065,957
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-11-30	$2,046,811
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-11-30	$106,856
Value of total assets at end of year	2020-11-30	$4,407,020
Value of total assets at beginning of year	2020-11-30	$5,665,434
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-11-30	$19,146
Total interest from all sources	2020-11-30	$0
Total dividends received (eg from common stock, registered investment company shares)	2020-11-30	$10,974
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-11-30	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2020-11-30	$0
Administrative expenses professional fees incurred	2020-11-30	$18,386
Was this plan covered by a fidelity bond	2020-11-30	Yes
Value of fidelity bond cover	2020-11-30	$500,000
If this is an individual account plan, was there a blackout period	2020-11-30	No
Were there any nonexempt tranactions with any party-in-interest	2020-11-30	No
Contributions received from participants	2020-11-30	$48,890
Income. Received or receivable in cash from other sources (including rollovers)	2020-11-30	$57,966
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2020-11-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2020-11-30	$0
Total non interest bearing cash at end of year	2020-11-30	$14,421
Total non interest bearing cash at beginning of year	2020-11-30	$32,807
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-11-30	No
Value of net income/loss	2020-11-30	$-1,258,414
Value of net assets at end of year (total assets less liabilities)	2020-11-30	$4,407,020
Value of net assets at beginning of year (total assets less liabilities)	2020-11-30	$5,665,434
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-11-30	No
Were any leases to which the plan was party in default or uncollectible	2020-11-30	No
Value of interest in pooled separate accounts at end of year	2020-11-30	$3,825,712
Value of interest in pooled separate accounts at beginning of year	2020-11-30	$4,836,466
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-11-30	$249,828
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-11-30	$243,867
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-11-30	$243,867
Net investment gain/loss from pooled separate accounts	2020-11-30	$689,713
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-11-30	No
Was there a failure to transmit to the plan any participant contributions	2020-11-30	No
Has the plan failed to provide any benefit when due under the plan	2020-11-30	No
Income. Dividends from common stock	2020-11-30	$10,974
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-11-30	$2,046,811
Contract administrator fees	2020-11-30	$760
Assets. Corporate common stocks other than exployer securities at end of year	2020-11-30	$317,059
Assets. Corporate common stocks other than exployer securities at beginning of year	2020-11-30	$552,294
Did the plan have assets held for investment	2020-11-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2020-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2020-11-30	Disclaimer
Accountancy firm name	2020-11-30	WINDES, INC.
Accountancy firm EIN	2020-11-30	953001179
2019 : PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-11-30	$5,746
Total income from all sources (including contributions)	2019-11-30	$716,224
Total loss/gain on sale of assets	2019-11-30	$0
Total of all expenses incurred	2019-11-30	$1,067,922
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-11-30	$1,066,702
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-11-30	$62,884
Value of total assets at end of year	2019-11-30	$5,665,434
Value of total assets at beginning of year	2019-11-30	$6,022,878
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-11-30	$1,220
Total interest from all sources	2019-11-30	$81
Total dividends received (eg from common stock, registered investment company shares)	2019-11-30	$12,617
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-11-30	No
Was this plan covered by a fidelity bond	2019-11-30	Yes
Value of fidelity bond cover	2019-11-30	$500,000
If this is an individual account plan, was there a blackout period	2019-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2019-11-30	No
Contributions received from participants	2019-11-30	$62,884
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2019-11-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-11-30	$5,746
Other income not declared elsewhere	2019-11-30	$27
Total non interest bearing cash at end of year	2019-11-30	$32,807
Total non interest bearing cash at beginning of year	2019-11-30	$30,902
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-11-30	No
Value of net income/loss	2019-11-30	$-351,698
Value of net assets at end of year (total assets less liabilities)	2019-11-30	$5,665,434
Value of net assets at beginning of year (total assets less liabilities)	2019-11-30	$6,017,132
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-11-30	No
Were any leases to which the plan was party in default or uncollectible	2019-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-11-30	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-11-30	$0
Value of interest in pooled separate accounts at end of year	2019-11-30	$4,836,466
Value of interest in pooled separate accounts at beginning of year	2019-11-30	$5,260,283
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-11-30	$243,867
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-11-30	$245,961
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-11-30	$245,961
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-11-30	$81
Net investment gain/loss from pooled separate accounts	2019-11-30	$640,615
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-11-30	No
Was there a failure to transmit to the plan any participant contributions	2019-11-30	No
Has the plan failed to provide any benefit when due under the plan	2019-11-30	No
Contributions received in cash from employer	2019-11-30	$0
Income. Dividends from common stock	2019-11-30	$12,617
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-11-30	$1,066,702
Contract administrator fees	2019-11-30	$1,220
Assets. Corporate common stocks other than exployer securities at end of year	2019-11-30	$552,294
Assets. Corporate common stocks other than exployer securities at beginning of year	2019-11-30	$485,732
Did the plan have assets held for investment	2019-11-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2019-11-30	Disclaimer
Accountancy firm name	2019-11-30	WINDES, INC.
Accountancy firm EIN	2019-11-30	953001179
2018 : PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2018-11-30	$54,698
Total unrealized appreciation/depreciation of assets	2018-11-30	$54,698
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-11-30	$5,746
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-11-30	$21,415
Total income from all sources (including contributions)	2018-11-30	$200,299
Total loss/gain on sale of assets	2018-11-30	$0
Total of all expenses incurred	2018-11-30	$2,181,585
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-11-30	$2,174,584
Value of total corrective distributions	2018-11-30	$5,746
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-11-30	$82,921
Value of total assets at end of year	2018-11-30	$6,022,878
Value of total assets at beginning of year	2018-11-30	$8,019,833
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-11-30	$1,255
Total interest from all sources	2018-11-30	$71
Total dividends received (eg from common stock, registered investment company shares)	2018-11-30	$16,996
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-11-30	No
Was this plan covered by a fidelity bond	2018-11-30	Yes
Value of fidelity bond cover	2018-11-30	$500,000
If this is an individual account plan, was there a blackout period	2018-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2018-11-30	No
Contributions received from participants	2018-11-30	$78,729
Income. Received or receivable in cash from other sources (including rollovers)	2018-11-30	$4,192
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2018-11-30	$5,746
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-11-30	$21,415
Total non interest bearing cash at end of year	2018-11-30	$30,902
Total non interest bearing cash at beginning of year	2018-11-30	$29,326
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-11-30	No
Value of net income/loss	2018-11-30	$-1,981,286
Value of net assets at end of year (total assets less liabilities)	2018-11-30	$6,017,132
Value of net assets at beginning of year (total assets less liabilities)	2018-11-30	$7,998,418
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-11-30	No
Were any leases to which the plan was party in default or uncollectible	2018-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-11-30	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-11-30	$0
Value of interest in pooled separate accounts at end of year	2018-11-30	$5,260,283
Value of interest in pooled separate accounts at beginning of year	2018-11-30	$5,706,461
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-11-30	$245,961
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-11-30	$434,821
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-11-30	$434,821
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-11-30	$71
Net investment gain/loss from pooled separate accounts	2018-11-30	$45,613
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-11-30	No
Was there a failure to transmit to the plan any participant contributions	2018-11-30	No
Has the plan failed to provide any benefit when due under the plan	2018-11-30	No
Contributions received in cash from employer	2018-11-30	$0
Income. Dividends from common stock	2018-11-30	$16,996
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-11-30	$2,174,584
Contract administrator fees	2018-11-30	$1,255
Assets. Corporate common stocks other than exployer securities at end of year	2018-11-30	$485,732
Assets. Corporate common stocks other than exployer securities at beginning of year	2018-11-30	$1,849,225
Did the plan have assets held for investment	2018-11-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2018-11-30	Disclaimer
Accountancy firm name	2018-11-30	WINDES, INC.
Accountancy firm EIN	2018-11-30	953001179
2017 : PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2017-11-30	$251,306
Total unrealized appreciation/depreciation of assets	2017-11-30	$251,306
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-11-30	$21,415
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-11-30	$9,075
Total income from all sources (including contributions)	2017-11-30	$1,243,143
Total loss/gain on sale of assets	2017-11-30	$0
Total of all expenses incurred	2017-11-30	$177,071
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-11-30	$155,156
Value of total corrective distributions	2017-11-30	$21,415
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-11-30	$88,700
Value of total assets at end of year	2017-11-30	$8,019,833
Value of total assets at beginning of year	2017-11-30	$6,941,421
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-11-30	$500
Total interest from all sources	2017-11-30	$33
Total dividends received (eg from common stock, registered investment company shares)	2017-11-30	$41,964
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-11-30	No
Administrative expenses professional fees incurred	2017-11-30	$500
Was this plan covered by a fidelity bond	2017-11-30	Yes
Value of fidelity bond cover	2017-11-30	$500,000
If this is an individual account plan, was there a blackout period	2017-11-30	No
Were there any nonexempt tranactions with any party-in-interest	2017-11-30	No
Contributions received from participants	2017-11-30	$88,700
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-11-30	$21,415
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-11-30	$9,075
Total non interest bearing cash at end of year	2017-11-30	$29,326
Total non interest bearing cash at beginning of year	2017-11-30	$29,326
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-11-30	No
Value of net income/loss	2017-11-30	$1,066,072
Value of net assets at end of year (total assets less liabilities)	2017-11-30	$7,998,418
Value of net assets at beginning of year (total assets less liabilities)	2017-11-30	$6,932,346
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-11-30	No
Were any leases to which the plan was party in default or uncollectible	2017-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-11-30	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-11-30	$0
Value of interest in pooled separate accounts at end of year	2017-11-30	$5,706,461
Value of interest in pooled separate accounts at beginning of year	2017-11-30	$4,809,098
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-11-30	$434,821
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-11-30	$505,078
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-11-30	$505,078
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-11-30	$33
Net investment gain/loss from pooled separate accounts	2017-11-30	$861,140
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-11-30	No
Was there a failure to transmit to the plan any participant contributions	2017-11-30	No
Has the plan failed to provide any benefit when due under the plan	2017-11-30	No
Income. Dividends from common stock	2017-11-30	$41,964
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-11-30	$155,156
Assets. Corporate common stocks other than exployer securities at end of year	2017-11-30	$1,849,225
Assets. Corporate common stocks other than exployer securities at beginning of year	2017-11-30	$1,597,919
Did the plan have assets held for investment	2017-11-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2017-11-30	Disclaimer
Accountancy firm name	2017-11-30	WINDES, INC.
Accountancy firm EIN	2017-11-30	953001179
2016 : PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2016-11-30	$133,906
Total unrealized appreciation/depreciation of assets	2016-11-30	$133,906
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-11-30	$9,075
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-11-30	$16,715
Total income from all sources (including contributions)	2016-11-30	$481,820
Total loss/gain on sale of assets	2016-11-30	$17,140
Total of all expenses incurred	2016-11-30	$1,968,784
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-11-30	$1,958,231
Value of total corrective distributions	2016-11-30	$9,075
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-11-30	$79,410
Value of total assets at end of year	2016-11-30	$6,941,421
Value of total assets at beginning of year	2016-11-30	$8,436,025
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-11-30	$1,478
Total interest from all sources	2016-11-30	$22
Total dividends received (eg from common stock, registered investment company shares)	2016-11-30	$39,291
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-11-30	No
Administrative expenses professional fees incurred	2016-11-30	$1,478
Was this plan covered by a fidelity bond	2016-11-30	Yes
Value of fidelity bond cover	2016-11-30	$500,000
If this is an individual account plan, was there a blackout period	2016-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2016-11-30	No
Contributions received from participants	2016-11-30	$79,410
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-11-30	$9,075
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-11-30	$16,715
Total non interest bearing cash at end of year	2016-11-30	$29,326
Total non interest bearing cash at beginning of year	2016-11-30	$29,788
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-11-30	No
Value of net income/loss	2016-11-30	$-1,486,964
Value of net assets at end of year (total assets less liabilities)	2016-11-30	$6,932,346
Value of net assets at beginning of year (total assets less liabilities)	2016-11-30	$8,419,310
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-11-30	No
Were any leases to which the plan was party in default or uncollectible	2016-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-11-30	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-11-30	$0
Value of interest in pooled separate accounts at end of year	2016-11-30	$4,809,098
Value of interest in pooled separate accounts at beginning of year	2016-11-30	$6,246,776
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-11-30	$505,078
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-11-30	$689,476
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-11-30	$689,476
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-11-30	$22
Net investment gain/loss from pooled separate accounts	2016-11-30	$212,051
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-11-30	No
Was there a failure to transmit to the plan any participant contributions	2016-11-30	Yes
Has the plan failed to provide any benefit when due under the plan	2016-11-30	No
Income. Dividends from common stock	2016-11-30	$39,291
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-11-30	$1,958,231
Assets. Corporate common stocks other than exployer securities at end of year	2016-11-30	$1,597,919
Assets. Corporate common stocks other than exployer securities at beginning of year	2016-11-30	$1,469,985
Did the plan have assets held for investment	2016-11-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-11-30	No
Aggregate proceeds on sale of assets	2016-11-30	$17,140
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2016-11-30	Disclaimer
Accountancy firm name	2016-11-30	WINDES, INC.
Accountancy firm EIN	2016-11-30	953001179
2015 : PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2015-11-30	$-132,002
Total unrealized appreciation/depreciation of assets	2015-11-30	$-132,002
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-11-30	$16,715
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-11-30	$5,646
Total income from all sources (including contributions)	2015-11-30	$241,722
Total loss/gain on sale of assets	2015-11-30	$212,013
Total of all expenses incurred	2015-11-30	$2,427,354
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-11-30	$2,408,909
Value of total corrective distributions	2015-11-30	$16,715
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-11-30	$193,947
Value of total assets at end of year	2015-11-30	$8,436,025
Value of total assets at beginning of year	2015-11-30	$10,610,588
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-11-30	$1,730
Total interest from all sources	2015-11-30	$20
Total dividends received (eg from common stock, registered investment company shares)	2015-11-30	$41,797
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-11-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-11-30	$0
Administrative expenses professional fees incurred	2015-11-30	$1,730
Was this plan covered by a fidelity bond	2015-11-30	Yes
Value of fidelity bond cover	2015-11-30	$500,000
If this is an individual account plan, was there a blackout period	2015-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2015-11-30	No
Contributions received from participants	2015-11-30	$193,947
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-11-30	$16,715
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-11-30	$5,646
Other income not declared elsewhere	2015-11-30	$0
Total non interest bearing cash at end of year	2015-11-30	$29,788
Total non interest bearing cash at beginning of year	2015-11-30	$28,799
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-11-30	No
Value of net income/loss	2015-11-30	$-2,185,632
Value of net assets at end of year (total assets less liabilities)	2015-11-30	$8,419,310
Value of net assets at beginning of year (total assets less liabilities)	2015-11-30	$10,604,942
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-11-30	No
Were any leases to which the plan was party in default or uncollectible	2015-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-11-30	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-11-30	$7,891,283
Value of interest in pooled separate accounts at end of year	2015-11-30	$6,246,776
Value of interest in pooled separate accounts at beginning of year	2015-11-30	$1,835,305
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-11-30	$689,476
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-11-30	$855,201
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-11-30	$855,201
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-11-30	$20
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-11-30	$0
Net investment gain/loss from pooled separate accounts	2015-11-30	$-74,053
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-11-30	No
Was there a failure to transmit to the plan any participant contributions	2015-11-30	No
Has the plan failed to provide any benefit when due under the plan	2015-11-30	No
Income. Dividends from common stock	2015-11-30	$41,797
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-11-30	$2,408,909
Assets. Corporate common stocks other than exployer securities at end of year	2015-11-30	$1,469,985
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-11-30	$0
Did the plan have assets held for investment	2015-11-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-11-30	No
Aggregate proceeds on sale of assets	2015-11-30	$445,331
Aggregate carrying amount (costs) on sale of assets	2015-11-30	$233,318
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2015-11-30	Disclaimer
Accountancy firm name	2015-11-30	WINDES, INC.
Accountancy firm EIN	2015-11-30	953001179
2014 : PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-11-30	$5,646
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-11-30	$13,814
Expenses. Interest paid	2014-11-30	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-11-30	$0
Total income from all sources (including contributions)	2014-11-30	$1,085,219
Total loss/gain on sale of assets	2014-11-30	$0
Total of all expenses incurred	2014-11-30	$912,231
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-11-30	$905,735
Expenses. Certain deemed distributions of participant loans	2014-11-30	$0
Value of total corrective distributions	2014-11-30	$5,646
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-11-30	$275,778
Value of total assets at end of year	2014-11-30	$10,610,588
Value of total assets at beginning of year	2014-11-30	$10,445,768
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-11-30	$850
Total interest from all sources	2014-11-30	$0
Total dividends received (eg from common stock, registered investment company shares)	2014-11-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-11-30	No
Administrative expenses professional fees incurred	2014-11-30	$850
Was this plan covered by a fidelity bond	2014-11-30	Yes
Value of fidelity bond cover	2014-11-30	$500,000
If this is an individual account plan, was there a blackout period	2014-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2014-11-30	No
Contributions received from participants	2014-11-30	$275,778
Income. Received or receivable in cash from other sources (including rollovers)	2014-11-30	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-11-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-11-30	$5,646
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-11-30	$13,814
Other income not declared elsewhere	2014-11-30	$8,576
Total non interest bearing cash at end of year	2014-11-30	$28,799
Total non interest bearing cash at beginning of year	2014-11-30	$21,262
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-11-30	No
Income. Non cash contributions	2014-11-30	$0
Value of net income/loss	2014-11-30	$172,988
Value of net assets at end of year (total assets less liabilities)	2014-11-30	$10,604,942
Value of net assets at beginning of year (total assets less liabilities)	2014-11-30	$10,431,954
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-11-30	No
Were any leases to which the plan was party in default or uncollectible	2014-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-11-30	$7,891,283
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-11-30	$7,842,487
Value of interest in pooled separate accounts at end of year	2014-11-30	$1,835,305
Value of interest in pooled separate accounts at beginning of year	2014-11-30	$1,561,865
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-11-30	$855,201
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-11-30	$1,020,154
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-11-30	$1,020,154
Expenses. Payments to insurance carriers foe the provision of benefits	2014-11-30	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-11-30	$496,091
Net investment gain/loss from pooled separate accounts	2014-11-30	$304,774
Net gain/loss from 103.12 investment entities	2014-11-30	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-11-30	No
Was there a failure to transmit to the plan any participant contributions	2014-11-30	No
Has the plan failed to provide any benefit when due under the plan	2014-11-30	No
Contributions received in cash from employer	2014-11-30	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-11-30	$905,735
Did the plan have assets held for investment	2014-11-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2014-11-30	Disclaimer
Accountancy firm name	2014-11-30	KUSHNER, SMITH, JOANOU & GREGSON LL
Accountancy firm EIN	2014-11-30	953322166
2013 : PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-11-30	$13,814
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-11-30	$0
Total income from all sources (including contributions)	2013-11-30	$1,860,716
Total loss/gain on sale of assets	2013-11-30	$0
Total of all expenses incurred	2013-11-30	$1,233,739
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-11-30	$1,228,658
Value of total corrective distributions	2013-11-30	$3,131
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-11-30	$325,724
Value of total assets at end of year	2013-11-30	$10,445,768
Value of total assets at beginning of year	2013-11-30	$9,804,977
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-11-30	$1,950
Total interest from all sources	2013-11-30	$27,927
Total dividends received (eg from common stock, registered investment company shares)	2013-11-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-11-30	No
Administrative expenses professional fees incurred	2013-11-30	$1,950
Was this plan covered by a fidelity bond	2013-11-30	Yes
Value of fidelity bond cover	2013-11-30	$500,000
If this is an individual account plan, was there a blackout period	2013-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2013-11-30	No
Contributions received from participants	2013-11-30	$309,900
Income. Received or receivable in cash from other sources (including rollovers)	2013-11-30	$15,824
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-11-30	$13,814
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-11-30	$0
Total non interest bearing cash at end of year	2013-11-30	$21,262
Total non interest bearing cash at beginning of year	2013-11-30	$19,892
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-11-30	No
Value of net income/loss	2013-11-30	$626,977
Value of net assets at end of year (total assets less liabilities)	2013-11-30	$10,431,954
Value of net assets at beginning of year (total assets less liabilities)	2013-11-30	$9,804,977
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-11-30	No
Were any leases to which the plan was party in default or uncollectible	2013-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-11-30	$7,842,487
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-11-30	$7,516,609
Value of interest in pooled separate accounts at end of year	2013-11-30	$1,561,865
Value of interest in pooled separate accounts at beginning of year	2013-11-30	$1,163,196
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-11-30	$1,020,154
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-11-30	$1,105,280
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-11-30	$1,105,280
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-11-30	$27,927
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-11-30	$1,072,779
Net investment gain/loss from pooled separate accounts	2013-11-30	$434,286
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-11-30	No
Was there a failure to transmit to the plan any participant contributions	2013-11-30	No
Has the plan failed to provide any benefit when due under the plan	2013-11-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-11-30	$1,228,658
Did the plan have assets held for investment	2013-11-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2013-11-30	Disclaimer
Accountancy firm name	2013-11-30	KUSHNER, SMITH, JOANOU & GREGSON LL
Accountancy firm EIN	2013-11-30	953322166
2012 : PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-11-30	$0
Total income from all sources (including contributions)	2012-11-30	$1,401,905
Total loss/gain on sale of assets	2012-11-30	$0
Total of all expenses incurred	2012-11-30	$608,271
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-11-30	$607,421
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-11-30	$564,999
Value of total assets at end of year	2012-11-30	$9,804,977
Value of total assets at beginning of year	2012-11-30	$9,011,343
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-11-30	$850
Total interest from all sources	2012-11-30	$0
Total dividends received (eg from common stock, registered investment company shares)	2012-11-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-11-30	No
Was this plan covered by a fidelity bond	2012-11-30	Yes
Value of fidelity bond cover	2012-11-30	$500,000
If this is an individual account plan, was there a blackout period	2012-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2012-11-30	No
Contributions received from participants	2012-11-30	$283,984
Income. Received or receivable in cash from other sources (including rollovers)	2012-11-30	$281,015
Total non interest bearing cash at end of year	2012-11-30	$19,892
Total non interest bearing cash at beginning of year	2012-11-30	$16,728
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-11-30	No
Value of net income/loss	2012-11-30	$793,634
Value of net assets at end of year (total assets less liabilities)	2012-11-30	$9,804,977
Value of net assets at beginning of year (total assets less liabilities)	2012-11-30	$9,011,343
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-11-30	No
Were any leases to which the plan was party in default or uncollectible	2012-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-11-30	$7,516,609
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-11-30	$6,782,190
Value of interest in pooled separate accounts at end of year	2012-11-30	$1,163,196
Value of interest in pooled separate accounts at beginning of year	2012-11-30	$1,045,297
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-11-30	$1,105,280
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-11-30	$1,167,128
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-11-30	$1,167,128
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-11-30	$689,749
Net investment gain/loss from pooled separate accounts	2012-11-30	$147,157
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-11-30	No
Was there a failure to transmit to the plan any participant contributions	2012-11-30	No
Has the plan failed to provide any benefit when due under the plan	2012-11-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-11-30	$607,421
Contract administrator fees	2012-11-30	$850
Did the plan have assets held for investment	2012-11-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2012-11-30	Disclaimer
Accountancy firm name	2012-11-30	KUSHNER, SMITH, JOANOU & GREGSON LL
Accountancy firm EIN	2012-11-30	953322166
2011 : PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-11-30	$0
Total income from all sources (including contributions)	2011-11-30	$714,187
Total loss/gain on sale of assets	2011-11-30	$0
Total of all expenses incurred	2011-11-30	$460,041
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-11-30	$453,908
Value of total corrective distributions	2011-11-30	$4,046
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-11-30	$563,514
Value of total assets at end of year	2011-11-30	$9,011,343
Value of total assets at beginning of year	2011-11-30	$8,757,197
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-11-30	$2,087
Total interest from all sources	2011-11-30	$0
Total dividends received (eg from common stock, registered investment company shares)	2011-11-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-11-30	No
Was this plan covered by a fidelity bond	2011-11-30	Yes
Value of fidelity bond cover	2011-11-30	$500,000
If this is an individual account plan, was there a blackout period	2011-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2011-11-30	No
Contributions received from participants	2011-11-30	$291,559
Income. Received or receivable in cash from other sources (including rollovers)	2011-11-30	$271,955
Administrative expenses (other) incurred	2011-11-30	$1,037
Total non interest bearing cash at end of year	2011-11-30	$16,728
Total non interest bearing cash at beginning of year	2011-11-30	$79,059
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-11-30	No
Value of net income/loss	2011-11-30	$254,146
Value of net assets at end of year (total assets less liabilities)	2011-11-30	$9,011,343
Value of net assets at beginning of year (total assets less liabilities)	2011-11-30	$8,757,197
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-11-30	No
Were any leases to which the plan was party in default or uncollectible	2011-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-11-30	$6,782,190
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-11-30	$6,487,356
Value of interest in pooled separate accounts at end of year	2011-11-30	$1,045,297
Value of interest in pooled separate accounts at beginning of year	2011-11-30	$1,072,500
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-11-30	$1,167,128
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-11-30	$1,118,282
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-11-30	$1,118,282
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-11-30	$85,321
Net investment gain/loss from pooled separate accounts	2011-11-30	$65,352
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-11-30	No
Was there a failure to transmit to the plan any participant contributions	2011-11-30	No
Has the plan failed to provide any benefit when due under the plan	2011-11-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-11-30	$453,908
Contract administrator fees	2011-11-30	$1,050
Did the plan have assets held for investment	2011-11-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2011-11-30	Disclaimer
Accountancy firm name	2011-11-30	KUSHNER, SMITH, JOANOU & GREGSON LL
Accountancy firm EIN	2011-11-30	953322166
2010 : PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-11-30	$0

Form 5500 Responses for PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN

2019: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-12-01	Type of plan entity	Single employer plan
2019-12-01	Submission has been amended	No
2019-12-01	This submission is the final filing	No
2019-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-12-01	Plan is a collectively bargained plan	No
2019-12-01	Plan funding arrangement – Insurance	Yes
2019-12-01	Plan funding arrangement – Trust	Yes
2019-12-01	Plan benefit arrangement - Trust	Yes
2018: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-12-01	Type of plan entity	Single employer plan
2018-12-01	Submission has been amended	No
2018-12-01	This submission is the final filing	No
2018-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-12-01	Plan is a collectively bargained plan	No
2018-12-01	Plan funding arrangement – Insurance	Yes
2018-12-01	Plan funding arrangement – Trust	Yes
2018-12-01	Plan benefit arrangement - Trust	Yes
2017: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-12-01	Type of plan entity	Single employer plan
2017-12-01	Submission has been amended	No
2017-12-01	This submission is the final filing	No
2017-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-12-01	Plan is a collectively bargained plan	No
2017-12-01	Plan funding arrangement – Insurance	Yes
2017-12-01	Plan funding arrangement – Trust	Yes
2017-12-01	Plan benefit arrangement - Trust	Yes
2016: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-12-01	Type of plan entity	Single employer plan
2016-12-01	Submission has been amended	No
2016-12-01	This submission is the final filing	No
2016-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-12-01	Plan is a collectively bargained plan	No
2016-12-01	Plan funding arrangement – Insurance	Yes
2016-12-01	Plan funding arrangement – Trust	Yes
2016-12-01	Plan benefit arrangement - Trust	Yes
2015: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-12-01	Type of plan entity	Single employer plan
2015-12-01	Submission has been amended	No
2015-12-01	This submission is the final filing	No
2015-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-12-01	Plan is a collectively bargained plan	No
2015-12-01	Plan funding arrangement – Insurance	Yes
2015-12-01	Plan funding arrangement – Trust	Yes
2015-12-01	Plan benefit arrangement - Trust	Yes
2014: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-12-01	Type of plan entity	Single employer plan
2014-12-01	Submission has been amended	No
2014-12-01	This submission is the final filing	No
2014-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-12-01	Plan is a collectively bargained plan	No
2014-12-01	Plan funding arrangement – Insurance	Yes
2014-12-01	Plan funding arrangement – Trust	Yes
2014-12-01	Plan benefit arrangement - Trust	Yes
2013: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-12-01	Type of plan entity	Single employer plan
2013-12-01	Submission has been amended	No
2013-12-01	This submission is the final filing	No
2013-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-12-01	Plan is a collectively bargained plan	No
2013-12-01	Plan funding arrangement – Insurance	Yes
2013-12-01	Plan funding arrangement – Trust	Yes
2013-12-01	Plan benefit arrangement - Trust	Yes
2012: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-12-01	Type of plan entity	Single employer plan
2012-12-01	Submission has been amended	No
2012-12-01	This submission is the final filing	No
2012-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-12-01	Plan is a collectively bargained plan	No
2012-12-01	Plan funding arrangement – Insurance	Yes
2012-12-01	Plan funding arrangement – Trust	Yes
2012-12-01	Plan benefit arrangement - Trust	Yes
2011: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-12-01	Type of plan entity	Single employer plan
2011-12-01	Submission has been amended	No
2011-12-01	This submission is the final filing	No
2011-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-12-01	Plan is a collectively bargained plan	No
2011-12-01	Plan funding arrangement – Insurance	Yes
2011-12-01	Plan funding arrangement – Trust	Yes
2011-12-01	Plan benefit arrangement - Trust	Yes
2009: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-12-01	Type of plan entity	Single employer plan
2009-12-01	Submission has been amended	No
2009-12-01	This submission is the final filing	No
2009-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-12-01	Plan is a collectively bargained plan	No
2009-12-01	Plan funding arrangement – Insurance	Yes
2009-12-01	Plan funding arrangement – Trust	Yes
2009-12-01	Plan benefit arrangement - Trust	Yes
2008: PROSPECT ENTERPRISES, INC. 401(K) PROFIT SHARING PLAN 2008 form 5500 responses
2008-12-01	Type of plan entity	Single employer plan
2008-12-01	Submission has been amended	No
2008-12-01	This submission is the final filing	No
2008-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-12-01	Plan is a collectively bargained plan	No

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

69669

Policy instance

Insurance contract or identification number	69669
Number of Individuals Covered	84
Insurance policy start date	2019-12-01
Insurance policy end date	2020-11-30
Total amount of commissions paid to insurance broker	USD $7,193
Total amount of fees paid to insurance company	USD $5,976
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

69669

Policy instance

Insurance contract or identification number	69669
Number of Individuals Covered	83
Insurance policy start date	2018-12-01
Insurance policy end date	2019-11-30
Total amount of commissions paid to insurance broker	USD $9,438
Total amount of fees paid to insurance company	USD $8,050
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $9,438
Insurance broker organization code?	3
Amount paid for insurance broker fees	4756
Additional information about fees paid to insurance broker	OTHER PAYMENT

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

69669

Policy instance

Insurance contract or identification number	69669
Number of Individuals Covered	87
Insurance policy start date	2017-12-01
Insurance policy end date	2018-11-30
Total amount of commissions paid to insurance broker	USD $12,581
Total amount of fees paid to insurance company	USD $9,740
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
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Company Name:	PROSPECT ENTERPRISES, INC.
Employer identification number (EIN):	951890952
NAIC Classification:	722300
NAIC Description:	Special Food Services

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	2317532

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2020-12-01
001	2019-12-01	ERNEST Y. DOIZAKI	2021-09-14
001	2018-12-01	ERNEST Y. DOIZAKI	2020-09-11
001	2017-12-01	ERNEST Y. DOIZAKI	2019-09-13
001	2016-12-01
001	2015-12-01
001	2014-12-01
001	2013-12-01	ERNEST Y. DOIZAKI
001	2012-12-01	ERNEST Y. DOIZAKI
001	2011-12-01	ERNEST Y. DOIZAKI
001	2009-12-01	ERNEST Y. DOIZAKI
001	2008-12-01