401k Plan data: R. W. SMITH & CO. 401(K) PLAN plan

R. W. SMITH & CO. 401(K) PLAN 401k Plan overview

Plan Name	R. W. SMITH & CO. 401(K) PLAN
Plan identification number	004

R. W. SMITH & CO. 401(K) 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.
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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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

R.W. SMITH & CO. has sponsored the creation of one or more 401k plans.

Company Name: R.W. SMITH & CO.

Employer identification number (EIN): 951962438

NAIC Classification: 423800

Additional information about R.W. SMITH & CO.

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 1999-08-12

Company Identification Number: 0012775406

Legal Registered Office Address: 10101 OLD GROVE RD

SAN DIEGO
United States of America (USA)
92131

More information about R.W. SMITH & CO.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan R. W. SMITH & CO. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2016-11-01 JAY KRUGER JAY KRUGER 2018-01-29
004 2015-11-01 JAY KRUGER JAY KRUGER 2017-04-20
004 2014-11-01 JAY KRUGER JAY KRUGER 2016-03-01
004 2013-11-01 JAY KRUGER JAY KRUGER 2015-03-17
004 2012-11-01 JAY KRUGER JAY KRUGER 2014-03-05
004 2011-11-01 JAY KRUGER JAY KRUGER 2013-02-21
004 2009-11-01 JAY KRUGER JAY KRUGER 2011-04-13

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
004	2016-11-01	JAY KRUGER	JAY KRUGER	2018-01-29
004	2015-11-01	JAY KRUGER	JAY KRUGER	2017-04-20
004	2014-11-01	JAY KRUGER	JAY KRUGER	2016-03-01
004	2013-11-01	JAY KRUGER	JAY KRUGER	2015-03-17
004	2012-11-01	JAY KRUGER	JAY KRUGER	2014-03-05
004	2011-11-01	JAY KRUGER	JAY KRUGER	2013-02-21
004	2009-11-01	JAY KRUGER	JAY KRUGER	2011-04-13

Plan Statistics for R. W. SMITH & CO. 401(K) PLAN

401k plan membership statisitcs for R. W. SMITH & CO. 401(K) PLAN

Measure Date Value
2016: R. W. SMITH & CO. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-11-01 238
Total number of active participants reported on line 7a of the Form 5500 2016-11-01 0
Number of retired or separated participants receiving benefits 2016-11-01 0
Number of other retired or separated participants entitled to future benefits 2016-11-01 0
Total of all active and inactive participants 2016-11-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-11-01 0
Total participants 2016-11-01 0
Number of participants with account balances 2016-11-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-11-01 0
2015: R. W. SMITH & CO. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-11-01 224
Total number of active participants reported on line 7a of the Form 5500 2015-11-01 215
Number of retired or separated participants receiving benefits 2015-11-01 0
Number of other retired or separated participants entitled to future benefits 2015-11-01 20
Total of all active and inactive participants 2015-11-01 235
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-11-01 0
Total participants 2015-11-01 235
Number of participants with account balances 2015-11-01 221
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-11-01 0
2014: R. W. SMITH & CO. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-11-01 186
Total number of active participants reported on line 7a of the Form 5500 2014-11-01 170
Number of retired or separated participants receiving benefits 2014-11-01 0
Number of other retired or separated participants entitled to future benefits 2014-11-01 10
Total of all active and inactive participants 2014-11-01 180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-11-01 0
Total participants 2014-11-01 180
Number of participants with account balances 2014-11-01 109
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-11-01 0
2013: R. W. SMITH & CO. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-11-01 190
Total number of active participants reported on line 7a of the Form 5500 2013-11-01 181
Number of retired or separated participants receiving benefits 2013-11-01 0
Number of other retired or separated participants entitled to future benefits 2013-11-01 9
Total of all active and inactive participants 2013-11-01 190
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-11-01 0
Total participants 2013-11-01 190
Number of participants with account balances 2013-11-01 106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-11-01 0
2012: R. W. SMITH & CO. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-11-01 195
Total number of active participants reported on line 7a of the Form 5500 2012-11-01 183
Number of retired or separated participants receiving benefits 2012-11-01 0
Number of other retired or separated participants entitled to future benefits 2012-11-01 10
Total of all active and inactive participants 2012-11-01 193
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-11-01 0
Total participants 2012-11-01 193
Number of participants with account balances 2012-11-01 95
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-11-01 0
2011: R. W. SMITH & CO. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-11-01 208
Total number of active participants reported on line 7a of the Form 5500 2011-11-01 181
Number of retired or separated participants receiving benefits 2011-11-01 0
Number of other retired or separated participants entitled to future benefits 2011-11-01 16
Total of all active and inactive participants 2011-11-01 197
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-11-01 0
Total participants 2011-11-01 197
Number of participants with account balances 2011-11-01 99
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-11-01 0
2009: R. W. SMITH & CO. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-11-01 222
Total number of active participants reported on line 7a of the Form 5500 2009-11-01 139
Number of retired or separated participants receiving benefits 2009-11-01 0
Number of other retired or separated participants entitled to future benefits 2009-11-01 19
Total of all active and inactive participants 2009-11-01 158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-11-01 0
Total participants 2009-11-01 158
Number of participants with account balances 2009-11-01 101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-11-01 0

Measure	Date	Value
2016: R. W. SMITH & CO. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-11-01	238
Total number of active participants reported on line 7a of the Form 5500	2016-11-01	0
Number of retired or separated participants receiving benefits	2016-11-01	0
Number of other retired or separated participants entitled to future benefits	2016-11-01	0
Total of all active and inactive participants	2016-11-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-11-01	0
Total participants	2016-11-01	0
Number of participants with account balances	2016-11-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-11-01	0
2015: R. W. SMITH & CO. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-11-01	224
Total number of active participants reported on line 7a of the Form 5500	2015-11-01	215
Number of retired or separated participants receiving benefits	2015-11-01	0
Number of other retired or separated participants entitled to future benefits	2015-11-01	20
Total of all active and inactive participants	2015-11-01	235
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-11-01	0
Total participants	2015-11-01	235
Number of participants with account balances	2015-11-01	221
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-11-01	0
2014: R. W. SMITH & CO. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-11-01	186
Total number of active participants reported on line 7a of the Form 5500	2014-11-01	170
Number of retired or separated participants receiving benefits	2014-11-01	0
Number of other retired or separated participants entitled to future benefits	2014-11-01	10
Total of all active and inactive participants	2014-11-01	180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-11-01	0
Total participants	2014-11-01	180
Number of participants with account balances	2014-11-01	109
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-11-01	0
2013: R. W. SMITH & CO. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-11-01	190
Total number of active participants reported on line 7a of the Form 5500	2013-11-01	181
Number of retired or separated participants receiving benefits	2013-11-01	0
Number of other retired or separated participants entitled to future benefits	2013-11-01	9
Total of all active and inactive participants	2013-11-01	190
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-11-01	0
Total participants	2013-11-01	190
Number of participants with account balances	2013-11-01	106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-11-01	0
2012: R. W. SMITH & CO. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-11-01	195
Total number of active participants reported on line 7a of the Form 5500	2012-11-01	183
Number of retired or separated participants receiving benefits	2012-11-01	0
Number of other retired or separated participants entitled to future benefits	2012-11-01	10
Total of all active and inactive participants	2012-11-01	193
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-11-01	0
Total participants	2012-11-01	193
Number of participants with account balances	2012-11-01	95
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-11-01	0
2011: R. W. SMITH & CO. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-11-01	208
Total number of active participants reported on line 7a of the Form 5500	2011-11-01	181
Number of retired or separated participants receiving benefits	2011-11-01	0
Number of other retired or separated participants entitled to future benefits	2011-11-01	16
Total of all active and inactive participants	2011-11-01	197
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-11-01	0
Total participants	2011-11-01	197
Number of participants with account balances	2011-11-01	99
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-11-01	0
2009: R. W. SMITH & CO. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-11-01	222
Total number of active participants reported on line 7a of the Form 5500	2009-11-01	139
Number of retired or separated participants receiving benefits	2009-11-01	0
Number of other retired or separated participants entitled to future benefits	2009-11-01	19
Total of all active and inactive participants	2009-11-01	158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-11-01	0
Total participants	2009-11-01	158
Number of participants with account balances	2009-11-01	101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-11-01	0

Financial Data on R. W. SMITH & CO. 401(K) PLAN

Measure	Date	Value
2017 : R. W. SMITH & CO. 401(K) PLAN 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets	2017-10-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2017-10-31	$0
Total unrealized appreciation/depreciation of assets	2017-10-31	$0
Total transfer of assets to this plan	2017-10-31	$0
Total transfer of assets from this plan	2017-10-31	$13,313,195
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-10-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-10-31	$0
Total income from all sources (including contributions)	2017-10-31	$8,135,510
Total loss/gain on sale of assets	2017-10-31	$0
Total of all expenses incurred	2017-10-31	$1,556,513
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-10-31	$1,542,803
Expenses. Certain deemed distributions of participant loans	2017-10-31	$0
Value of total corrective distributions	2017-10-31	$9,313
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-10-31	$6,423,445
Value of total assets at end of year	2017-10-31	$0
Value of total assets at beginning of year	2017-10-31	$6,734,198
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-10-31	$4,397
Total income from rents	2017-10-31	$0
Total interest from all sources	2017-10-31	$13,464
Total dividends received (eg from common stock, registered investment company shares)	2017-10-31	$93,915
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-10-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-10-31	$93,915
Administrative expenses professional fees incurred	2017-10-31	$0
Was this plan covered by a fidelity bond	2017-10-31	Yes
Value of fidelity bond cover	2017-10-31	$1,000,000
If this is an individual account plan, was there a blackout period	2017-10-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2017-10-31	No
Amount of non-exempt transactions with any party-in-interest	2017-10-31	$0
Contributions received from participants	2017-10-31	$1,134,727
Participant contributions at end of year	2017-10-31	$0
Participant contributions at beginning of year	2017-10-31	$98,302
Participant contributions at end of year	2017-10-31	$0
Participant contributions at beginning of year	2017-10-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2017-10-31	$4,862,602
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2017-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-10-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-10-31	$0
Other income not declared elsewhere	2017-10-31	$0
Administrative expenses (other) incurred	2017-10-31	$14
Liabilities. Value of operating payables at beginning of year	2017-10-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-10-31	No
Value of net income/loss	2017-10-31	$6,578,997
Value of net assets at end of year (total assets less liabilities)	2017-10-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2017-10-31	$6,734,198
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-10-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-10-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2017-10-31	$0
Were any leases to which the plan was party in default or uncollectible	2017-10-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2017-10-31	$0
Investment advisory and management fees	2017-10-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-10-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-10-31	$6,387,587
Interest on participant loans	2017-10-31	$8,114
Income. Interest from loans (other than to participants)	2017-10-31	$0
Interest earned on other investments	2017-10-31	$5,350
Income. Interest from US Government securities	2017-10-31	$0
Income. Interest from corporate debt instruments	2017-10-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-10-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-10-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-10-31	$248,309
Expenses. Payments to insurance carriers foe the provision of benefits	2017-10-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-10-31	$1,604,686
Net investment gain/loss from pooled separate accounts	2017-10-31	$0
Net investment gain or loss from common/collective trusts	2017-10-31	$0
Net gain/loss from 103.12 investment entities	2017-10-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-10-31	No
Was there a failure to transmit to the plan any participant contributions	2017-10-31	No
Has the plan failed to provide any benefit when due under the plan	2017-10-31	No
Contributions received in cash from employer	2017-10-31	$426,116
Employer contributions (assets) at end of year	2017-10-31	$0
Employer contributions (assets) at beginning of year	2017-10-31	$0
Income. Dividends from preferred stock	2017-10-31	$0
Income. Dividends from common stock	2017-10-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-10-31	$1,542,803
Contract administrator fees	2017-10-31	$4,383
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-10-31	Yes
Liabilities. Value of benefit claims payable at beginning of year	2017-10-31	$0
Did the plan have assets held for investment	2017-10-31	No
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	2017-10-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-10-31	Yes
Aggregate proceeds on sale of assets	2017-10-31	$0
Aggregate carrying amount (costs) on sale of assets	2017-10-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2017-10-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-10-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-10-31	Disclaimer
Accountancy firm name	2017-10-31	PKF, LLP
Accountancy firm EIN	2017-10-31	813391684
2016 : R. W. SMITH & CO. 401(K) PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets	2016-10-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2016-10-31	$0
Total unrealized appreciation/depreciation of assets	2016-10-31	$0
Total transfer of assets to this plan	2016-10-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-10-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-10-31	$0
Total income from all sources (including contributions)	2016-10-31	$1,022,784
Total loss/gain on sale of assets	2016-10-31	$0
Total of all expenses incurred	2016-10-31	$801,678
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-10-31	$792,271
Expenses. Certain deemed distributions of participant loans	2016-10-31	$0
Value of total corrective distributions	2016-10-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-10-31	$851,293
Value of total assets at end of year	2016-10-31	$6,734,198
Value of total assets at beginning of year	2016-10-31	$6,513,092
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-10-31	$9,407
Total income from rents	2016-10-31	$0
Total interest from all sources	2016-10-31	$7,471
Total dividends received (eg from common stock, registered investment company shares)	2016-10-31	$51,856
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-10-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-10-31	$51,856
Administrative expenses professional fees incurred	2016-10-31	$0
Was this plan covered by a fidelity bond	2016-10-31	Yes
Value of fidelity bond cover	2016-10-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-10-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-10-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-10-31	No
Amount of non-exempt transactions with any party-in-interest	2016-10-31	$0
Contributions received from participants	2016-10-31	$728,061
Participant contributions at end of year	2016-10-31	$98,302
Participant contributions at beginning of year	2016-10-31	$78,025
Participant contributions at end of year	2016-10-31	$0
Participant contributions at beginning of year	2016-10-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-10-31	$34,381
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-10-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-10-31	$0
Other income not declared elsewhere	2016-10-31	$0
Administrative expenses (other) incurred	2016-10-31	$10
Liabilities. Value of operating payables at beginning of year	2016-10-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-10-31	No
Value of net income/loss	2016-10-31	$221,106
Value of net assets at end of year (total assets less liabilities)	2016-10-31	$6,734,198
Value of net assets at beginning of year (total assets less liabilities)	2016-10-31	$6,513,092
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-10-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-10-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2016-10-31	$0
Were any leases to which the plan was party in default or uncollectible	2016-10-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2016-10-31	$0
Investment advisory and management fees	2016-10-31	$7,301
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-10-31	$6,387,587
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-10-31	$6,172,324
Interest on participant loans	2016-10-31	$4,655
Income. Interest from loans (other than to participants)	2016-10-31	$0
Interest earned on other investments	2016-10-31	$2,816
Income. Interest from US Government securities	2016-10-31	$0
Income. Interest from corporate debt instruments	2016-10-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-10-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-10-31	$248,309
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-10-31	$262,743
Expenses. Payments to insurance carriers foe the provision of benefits	2016-10-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-10-31	$112,164
Net investment gain/loss from pooled separate accounts	2016-10-31	$0
Net investment gain or loss from common/collective trusts	2016-10-31	$0
Net gain/loss from 103.12 investment entities	2016-10-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-10-31	No
Was there a failure to transmit to the plan any participant contributions	2016-10-31	No
Has the plan failed to provide any benefit when due under the plan	2016-10-31	No
Contributions received in cash from employer	2016-10-31	$88,851
Employer contributions (assets) at end of year	2016-10-31	$0
Employer contributions (assets) at beginning of year	2016-10-31	$0
Income. Dividends from preferred stock	2016-10-31	$0
Income. Dividends from common stock	2016-10-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-10-31	$792,271
Contract administrator fees	2016-10-31	$2,096
Liabilities. Value of benefit claims payable at beginning of year	2016-10-31	$0
Did the plan have assets held for investment	2016-10-31	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	2016-10-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-10-31	No
Aggregate proceeds on sale of assets	2016-10-31	$0
Aggregate carrying amount (costs) on sale of assets	2016-10-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2016-10-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-10-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-10-31	Disclaimer
Accountancy firm name	2016-10-31	PKF
Accountancy firm EIN	2016-10-31	954354850
2015 : R. W. SMITH & CO. 401(K) PLAN 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets	2015-10-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2015-10-31	$0
Total unrealized appreciation/depreciation of assets	2015-10-31	$0
Total transfer of assets to this plan	2015-10-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-10-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-10-31	$0
Total income from all sources (including contributions)	2015-10-31	$1,103,081
Total loss/gain on sale of assets	2015-10-31	$0
Total of all expenses incurred	2015-10-31	$249,526
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-10-31	$233,053
Expenses. Certain deemed distributions of participant loans	2015-10-31	$0
Value of total corrective distributions	2015-10-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-10-31	$974,039
Value of total assets at end of year	2015-10-31	$6,513,092
Value of total assets at beginning of year	2015-10-31	$5,659,537
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-10-31	$16,473
Total income from rents	2015-10-31	$0
Total interest from all sources	2015-10-31	$8,199
Total dividends received (eg from common stock, registered investment company shares)	2015-10-31	$65,790
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-10-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-10-31	$65,790
Administrative expenses professional fees incurred	2015-10-31	$0
Was this plan covered by a fidelity bond	2015-10-31	Yes
Value of fidelity bond cover	2015-10-31	$1,000,000
If this is an individual account plan, was there a blackout period	2015-10-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-10-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-10-31	No
Amount of non-exempt transactions with any party-in-interest	2015-10-31	$0
Contributions received from participants	2015-10-31	$542,185
Participant contributions at end of year	2015-10-31	$78,025
Participant contributions at beginning of year	2015-10-31	$96,570
Participant contributions at end of year	2015-10-31	$0
Participant contributions at beginning of year	2015-10-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2015-10-31	$431,854
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2015-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-10-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-10-31	$0
Other income not declared elsewhere	2015-10-31	$23
Administrative expenses (other) incurred	2015-10-31	$9
Liabilities. Value of operating payables at beginning of year	2015-10-31	$0
Total non interest bearing cash at end of year	2015-10-31	$0
Total non interest bearing cash at beginning of year	2015-10-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-10-31	No
Value of net income/loss	2015-10-31	$853,555
Value of net assets at end of year (total assets less liabilities)	2015-10-31	$6,513,092
Value of net assets at beginning of year (total assets less liabilities)	2015-10-31	$5,659,537
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-10-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-10-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2015-10-31	$0
Were any leases to which the plan was party in default or uncollectible	2015-10-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2015-10-31	$0
Investment advisory and management fees	2015-10-31	$14,482
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-10-31	$6,172,324
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-10-31	$5,317,194
Interest on participant loans	2015-10-31	$4,894
Income. Interest from loans (other than to participants)	2015-10-31	$0
Interest earned on other investments	2015-10-31	$3,305
Income. Interest from US Government securities	2015-10-31	$0
Income. Interest from corporate debt instruments	2015-10-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-10-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-10-31	$262,743
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-10-31	$245,773
Expenses. Payments to insurance carriers foe the provision of benefits	2015-10-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-10-31	$55,030
Net investment gain/loss from pooled separate accounts	2015-10-31	$0
Net investment gain or loss from common/collective trusts	2015-10-31	$0
Net gain/loss from 103.12 investment entities	2015-10-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-10-31	No
Was there a failure to transmit to the plan any participant contributions	2015-10-31	Yes
Has the plan failed to provide any benefit when due under the plan	2015-10-31	No
Contributions received in cash from employer	2015-10-31	$0
Employer contributions (assets) at end of year	2015-10-31	$0
Employer contributions (assets) at beginning of year	2015-10-31	$0
Income. Dividends from preferred stock	2015-10-31	$0
Income. Dividends from common stock	2015-10-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-10-31	$233,053
Contract administrator fees	2015-10-31	$1,982
Liabilities. Value of benefit claims payable at beginning of year	2015-10-31	$0
Did the plan have assets held for investment	2015-10-31	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	2015-10-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-10-31	No
Aggregate proceeds on sale of assets	2015-10-31	$0
Aggregate carrying amount (costs) on sale of assets	2015-10-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2015-10-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-10-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-10-31	Disclaimer
Accountancy firm name	2015-10-31	PKF
Accountancy firm EIN	2015-10-31	954354850
2014 : R. W. SMITH & CO. 401(K) PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets	2014-10-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2014-10-31	$0
Total unrealized appreciation/depreciation of assets	2014-10-31	$0
Total transfer of assets to this plan	2014-10-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-10-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-10-31	$0
Total income from all sources (including contributions)	2014-10-31	$1,094,236
Total loss/gain on sale of assets	2014-10-31	$0
Total of all expenses incurred	2014-10-31	$193,602
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-10-31	$178,812
Expenses. Certain deemed distributions of participant loans	2014-10-31	$0
Value of total corrective distributions	2014-10-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-10-31	$631,867
Value of total assets at end of year	2014-10-31	$5,659,537
Value of total assets at beginning of year	2014-10-31	$4,758,903
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-10-31	$14,790
Total income from rents	2014-10-31	$0
Total interest from all sources	2014-10-31	$9,494
Total dividends received (eg from common stock, registered investment company shares)	2014-10-31	$47,684
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-10-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-10-31	$47,684
Administrative expenses professional fees incurred	2014-10-31	$0
Was this plan covered by a fidelity bond	2014-10-31	Yes
Value of fidelity bond cover	2014-10-31	$1,000,000
If this is an individual account plan, was there a blackout period	2014-10-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-10-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-10-31	No
Amount of non-exempt transactions with any party-in-interest	2014-10-31	$0
Contributions received from participants	2014-10-31	$479,110
Participant contributions at end of year	2014-10-31	$96,570
Participant contributions at beginning of year	2014-10-31	$127,841
Participant contributions at end of year	2014-10-31	$0
Participant contributions at beginning of year	2014-10-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2014-10-31	$152,757
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-10-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-10-31	$0
Other income not declared elsewhere	2014-10-31	$0
Administrative expenses (other) incurred	2014-10-31	$0
Liabilities. Value of operating payables at beginning of year	2014-10-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-10-31	No
Value of net income/loss	2014-10-31	$900,634
Value of net assets at end of year (total assets less liabilities)	2014-10-31	$5,659,537
Value of net assets at beginning of year (total assets less liabilities)	2014-10-31	$4,758,903
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-10-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-10-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2014-10-31	$0
Were any leases to which the plan was party in default or uncollectible	2014-10-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2014-10-31	$0
Investment advisory and management fees	2014-10-31	$12,992
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-10-31	$5,317,194
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-10-31	$4,403,290
Interest on participant loans	2014-10-31	$6,312
Income. Interest from loans (other than to participants)	2014-10-31	$0
Interest earned on other investments	2014-10-31	$3,182
Income. Interest from US Government securities	2014-10-31	$0
Income. Interest from corporate debt instruments	2014-10-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-10-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-10-31	$245,773
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-10-31	$227,772
Expenses. Payments to insurance carriers foe the provision of benefits	2014-10-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-10-31	$405,191
Net investment gain/loss from pooled separate accounts	2014-10-31	$0
Net investment gain or loss from common/collective trusts	2014-10-31	$0
Net gain/loss from 103.12 investment entities	2014-10-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-10-31	No
Was there a failure to transmit to the plan any participant contributions	2014-10-31	Yes
Has the plan failed to provide any benefit when due under the plan	2014-10-31	No
Contributions received in cash from employer	2014-10-31	$0
Employer contributions (assets) at end of year	2014-10-31	$0
Employer contributions (assets) at beginning of year	2014-10-31	$0
Income. Dividends from preferred stock	2014-10-31	$0
Income. Dividends from common stock	2014-10-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-10-31	$178,812
Contract administrator fees	2014-10-31	$1,798
Liabilities. Value of benefit claims payable at beginning of year	2014-10-31	$0
Did the plan have assets held for investment	2014-10-31	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	2014-10-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-10-31	No
Aggregate proceeds on sale of assets	2014-10-31	$0
Aggregate carrying amount (costs) on sale of assets	2014-10-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2014-10-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-10-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-10-31	Disclaimer
Accountancy firm name	2014-10-31	PKF
Accountancy firm EIN	2014-10-31	954354850
2013 : R. W. SMITH & CO. 401(K) PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-10-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2013-10-31	$0
Total unrealized appreciation/depreciation of assets	2013-10-31	$0
Total transfer of assets to this plan	2013-10-31	$0
Total transfer of assets from this plan	2013-10-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-10-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-10-31	$0
Total income from all sources (including contributions)	2013-10-31	$1,280,764
Total loss/gain on sale of assets	2013-10-31	$0
Total of all expenses incurred	2013-10-31	$304,644
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-10-31	$291,884
Expenses. Certain deemed distributions of participant loans	2013-10-31	$0
Value of total corrective distributions	2013-10-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-10-31	$479,026
Value of total assets at end of year	2013-10-31	$4,758,903
Value of total assets at beginning of year	2013-10-31	$3,782,783
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-10-31	$12,760
Total income from rents	2013-10-31	$0
Total interest from all sources	2013-10-31	$7,215
Total dividends received (eg from common stock, registered investment company shares)	2013-10-31	$45,581
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-10-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-10-31	$45,581
Administrative expenses professional fees incurred	2013-10-31	$0
Was this plan covered by a fidelity bond	2013-10-31	Yes
Value of fidelity bond cover	2013-10-31	$1,000,000
If this is an individual account plan, was there a blackout period	2013-10-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-10-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-10-31	No
Amount of non-exempt transactions with any party-in-interest	2013-10-31	$0
Contributions received from participants	2013-10-31	$437,198
Participant contributions at end of year	2013-10-31	$127,841
Participant contributions at beginning of year	2013-10-31	$47,195
Participant contributions at end of year	2013-10-31	$0
Participant contributions at beginning of year	2013-10-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-10-31	$41,828
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-10-31	$1,032
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-10-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-10-31	$0
Other income not declared elsewhere	2013-10-31	$0
Administrative expenses (other) incurred	2013-10-31	$0
Liabilities. Value of operating payables at beginning of year	2013-10-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-10-31	No
Value of net income/loss	2013-10-31	$976,120
Value of net assets at end of year (total assets less liabilities)	2013-10-31	$4,758,903
Value of net assets at beginning of year (total assets less liabilities)	2013-10-31	$3,782,783
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-10-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-10-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2013-10-31	$0
Were any leases to which the plan was party in default or uncollectible	2013-10-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2013-10-31	$0
Investment advisory and management fees	2013-10-31	$10,420
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-10-31	$4,403,290
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-10-31	$3,556,128
Interest on participant loans	2013-10-31	$4,477
Income. Interest from loans (other than to participants)	2013-10-31	$0
Interest earned on other investments	2013-10-31	$2,738
Income. Interest from US Government securities	2013-10-31	$0
Income. Interest from corporate debt instruments	2013-10-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-10-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-10-31	$227,772
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-10-31	$179,460
Expenses. Payments to insurance carriers foe the provision of benefits	2013-10-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-10-31	$748,942
Net investment gain/loss from pooled separate accounts	2013-10-31	$0
Net investment gain or loss from common/collective trusts	2013-10-31	$0
Net gain/loss from 103.12 investment entities	2013-10-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-10-31	No
Was there a failure to transmit to the plan any participant contributions	2013-10-31	No
Has the plan failed to provide any benefit when due under the plan	2013-10-31	No
Contributions received in cash from employer	2013-10-31	$0
Employer contributions (assets) at end of year	2013-10-31	$0
Employer contributions (assets) at beginning of year	2013-10-31	$0
Income. Dividends from preferred stock	2013-10-31	$0
Income. Dividends from common stock	2013-10-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-10-31	$290,852
Contract administrator fees	2013-10-31	$2,340
Liabilities. Value of benefit claims payable at beginning of year	2013-10-31	$0
Did the plan have assets held for investment	2013-10-31	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	2013-10-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-10-31	No
Aggregate proceeds on sale of assets	2013-10-31	$0
Aggregate carrying amount (costs) on sale of assets	2013-10-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2013-10-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-10-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-10-31	Disclaimer
Accountancy firm name	2013-10-31	PKF
Accountancy firm EIN	2013-10-31	954354850
2012 : R. W. SMITH & CO. 401(K) PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets	2012-10-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2012-10-31	$0
Total unrealized appreciation/depreciation of assets	2012-10-31	$0
Total transfer of assets to this plan	2012-10-31	$0
Total transfer of assets from this plan	2012-10-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-10-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-10-31	$0
Total income from all sources (including contributions)	2012-10-31	$734,485
Total loss/gain on sale of assets	2012-10-31	$0
Total of all expenses incurred	2012-10-31	$181,523
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-10-31	$169,250
Expenses. Certain deemed distributions of participant loans	2012-10-31	$0
Value of total corrective distributions	2012-10-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-10-31	$392,506
Value of total assets at end of year	2012-10-31	$3,782,783
Value of total assets at beginning of year	2012-10-31	$3,229,821
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-10-31	$12,273
Total income from rents	2012-10-31	$0
Total interest from all sources	2012-10-31	$7,299
Total dividends received (eg from common stock, registered investment company shares)	2012-10-31	$43,433
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-10-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-10-31	$43,433
Administrative expenses professional fees incurred	2012-10-31	$0
Was this plan covered by a fidelity bond	2012-10-31	Yes
Value of fidelity bond cover	2012-10-31	$1,000,000
If this is an individual account plan, was there a blackout period	2012-10-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-10-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-10-31	No
Amount of non-exempt transactions with any party-in-interest	2012-10-31	$0
Contributions received from participants	2012-10-31	$366,737
Participant contributions at end of year	2012-10-31	$47,195
Participant contributions at beginning of year	2012-10-31	$57,099
Participant contributions at end of year	2012-10-31	$0
Participant contributions at beginning of year	2012-10-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2012-10-31	$25,769
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2012-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-10-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-10-31	$0
Other income not declared elsewhere	2012-10-31	$0
Administrative expenses (other) incurred	2012-10-31	$0
Liabilities. Value of operating payables at beginning of year	2012-10-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-10-31	No
Value of net income/loss	2012-10-31	$552,962
Value of net assets at end of year (total assets less liabilities)	2012-10-31	$3,782,783
Value of net assets at beginning of year (total assets less liabilities)	2012-10-31	$3,229,821
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-10-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-10-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2012-10-31	$0
Were any leases to which the plan was party in default or uncollectible	2012-10-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2012-10-31	$0
Investment advisory and management fees	2012-10-31	$6,329
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-10-31	$3,556,128
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-10-31	$2,989,975
Interest on participant loans	2012-10-31	$3,291
Income. Interest from loans (other than to participants)	2012-10-31	$0
Interest earned on other investments	2012-10-31	$4,008
Income. Interest from US Government securities	2012-10-31	$0
Income. Interest from corporate debt instruments	2012-10-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-10-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-10-31	$179,460
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-10-31	$182,747
Expenses. Payments to insurance carriers foe the provision of benefits	2012-10-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-10-31	$291,247
Net investment gain/loss from pooled separate accounts	2012-10-31	$0
Net investment gain or loss from common/collective trusts	2012-10-31	$0
Net gain/loss from 103.12 investment entities	2012-10-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-10-31	No
Was there a failure to transmit to the plan any participant contributions	2012-10-31	No
Has the plan failed to provide any benefit when due under the plan	2012-10-31	No
Contributions received in cash from employer	2012-10-31	$0
Employer contributions (assets) at end of year	2012-10-31	$0
Employer contributions (assets) at beginning of year	2012-10-31	$0
Income. Dividends from preferred stock	2012-10-31	$0
Income. Dividends from common stock	2012-10-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-10-31	$169,250
Contract administrator fees	2012-10-31	$5,944
Liabilities. Value of benefit claims payable at beginning of year	2012-10-31	$0
Did the plan have assets held for investment	2012-10-31	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	2012-10-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-10-31	No
Aggregate proceeds on sale of assets	2012-10-31	$0
Aggregate carrying amount (costs) on sale of assets	2012-10-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2012-10-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-10-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-10-31	Disclaimer
Accountancy firm name	2012-10-31	SLABAUGH ACCOUNTANCY CORPORATION
Accountancy firm EIN	2012-10-31	330886460
2011 : R. W. SMITH & CO. 401(K) PLAN 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets	2011-10-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2011-10-31	$0
Total unrealized appreciation/depreciation of assets	2011-10-31	$0
Total transfer of assets to this plan	2011-10-31	$5,944
Total transfer of assets from this plan	2011-10-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-10-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-10-31	$0
Total income from all sources (including contributions)	2011-10-31	$508,462
Total loss/gain on sale of assets	2011-10-31	$0
Total of all expenses incurred	2011-10-31	$451,312
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-10-31	$441,847
Expenses. Certain deemed distributions of participant loans	2011-10-31	$0
Value of total corrective distributions	2011-10-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-10-31	$387,064
Value of total assets at end of year	2011-10-31	$3,229,821
Value of total assets at beginning of year	2011-10-31	$3,166,727
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-10-31	$9,465
Total income from rents	2011-10-31	$0
Total interest from all sources	2011-10-31	$7,198
Total dividends received (eg from common stock, registered investment company shares)	2011-10-31	$35,263
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-10-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-10-31	$35,263
Administrative expenses professional fees incurred	2011-10-31	$0
Was this plan covered by a fidelity bond	2011-10-31	Yes
Value of fidelity bond cover	2011-10-31	$1,000,000
If this is an individual account plan, was there a blackout period	2011-10-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-10-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-10-31	No
Amount of non-exempt transactions with any party-in-interest	2011-10-31	$0
Contributions received from participants	2011-10-31	$303,550
Participant contributions at end of year	2011-10-31	$57,099
Participant contributions at beginning of year	2011-10-31	$68,917
Participant contributions at end of year	2011-10-31	$0
Participant contributions at beginning of year	2011-10-31	$63
Income. Received or receivable in cash from other sources (including rollovers)	2011-10-31	$83,514
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2011-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-10-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-10-31	$0
Other income not declared elsewhere	2011-10-31	$0
Administrative expenses (other) incurred	2011-10-31	$0
Liabilities. Value of operating payables at beginning of year	2011-10-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-10-31	No
Value of net income/loss	2011-10-31	$57,150
Value of net assets at end of year (total assets less liabilities)	2011-10-31	$3,229,821
Value of net assets at beginning of year (total assets less liabilities)	2011-10-31	$3,166,727
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-10-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-10-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2011-10-31	$0
Were any leases to which the plan was party in default or uncollectible	2011-10-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2011-10-31	$0
Investment advisory and management fees	2011-10-31	$8,054
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-10-31	$2,989,975
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-10-31	$2,984,797
Interest on participant loans	2011-10-31	$4,448
Income. Interest from loans (other than to participants)	2011-10-31	$0
Interest earned on other investments	2011-10-31	$2,750
Income. Interest from US Government securities	2011-10-31	$0
Income. Interest from corporate debt instruments	2011-10-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-10-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-10-31	$182,747
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-10-31	$112,950
Expenses. Payments to insurance carriers foe the provision of benefits	2011-10-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-10-31	$78,937
Net investment gain/loss from pooled separate accounts	2011-10-31	$0
Net investment gain or loss from common/collective trusts	2011-10-31	$0
Net gain/loss from 103.12 investment entities	2011-10-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-10-31	No
Was there a failure to transmit to the plan any participant contributions	2011-10-31	No
Has the plan failed to provide any benefit when due under the plan	2011-10-31	No
Contributions received in cash from employer	2011-10-31	$0
Employer contributions (assets) at end of year	2011-10-31	$0
Employer contributions (assets) at beginning of year	2011-10-31	$0
Income. Dividends from preferred stock	2011-10-31	$0
Income. Dividends from common stock	2011-10-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-10-31	$441,847
Contract administrator fees	2011-10-31	$1,411
Liabilities. Value of benefit claims payable at beginning of year	2011-10-31	$0
Did the plan have assets held for investment	2011-10-31	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	2011-10-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-10-31	No
Aggregate proceeds on sale of assets	2011-10-31	$0
Aggregate carrying amount (costs) on sale of assets	2011-10-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2011-10-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-10-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-10-31	Disclaimer
Accountancy firm name	2011-10-31	SLABAUGH ACCOUNTANCY CORPORATION
Accountancy firm EIN	2011-10-31	330886460
2010 : R. W. SMITH & CO. 401(K) PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-10-31	$0

Form 5500 Responses for R. W. SMITH & CO. 401(K) PLAN

2016: R. W. SMITH & CO. 401(K) PLAN 2016 form 5500 responses
2016-11-01	Type of plan entity	Single employer plan
2016-11-01	This submission is the final filing	Yes
2016-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-11-01	Plan is a collectively bargained plan	No
2016-11-01	Plan funding arrangement – Insurance	Yes
2016-11-01	Plan funding arrangement – Trust	Yes
2016-11-01	Plan benefit arrangement – Insurance	Yes
2016-11-01	Plan benefit arrangement - Trust	Yes
2015: R. W. SMITH & CO. 401(K) PLAN 2015 form 5500 responses
2015-11-01	Type of plan entity	Single employer plan
2015-11-01	This submission is the final filing	No
2015-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-11-01	Plan is a collectively bargained plan	No
2015-11-01	Plan funding arrangement – Insurance	Yes
2015-11-01	Plan funding arrangement – Trust	Yes
2015-11-01	Plan benefit arrangement – Insurance	Yes
2015-11-01	Plan benefit arrangement - Trust	Yes
2014: R. W. SMITH & CO. 401(K) PLAN 2014 form 5500 responses
2014-11-01	Type of plan entity	Single employer plan
2014-11-01	This submission is the final filing	No
2014-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-11-01	Plan is a collectively bargained plan	No
2014-11-01	Plan funding arrangement – Insurance	Yes
2014-11-01	Plan funding arrangement – Trust	Yes
2014-11-01	Plan benefit arrangement – Insurance	Yes
2014-11-01	Plan benefit arrangement - Trust	Yes
2013: R. W. SMITH & CO. 401(K) PLAN 2013 form 5500 responses
2013-11-01	Type of plan entity	Single employer plan
2013-11-01	This submission is the final filing	No
2013-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-11-01	Plan is a collectively bargained plan	No
2013-11-01	Plan funding arrangement – Insurance	Yes
2013-11-01	Plan funding arrangement – Trust	Yes
2013-11-01	Plan benefit arrangement – Insurance	Yes
2013-11-01	Plan benefit arrangement - Trust	Yes
2012: R. W. SMITH & CO. 401(K) PLAN 2012 form 5500 responses
2012-11-01	Type of plan entity	Single employer plan
2012-11-01	This submission is the final filing	No
2012-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-11-01	Plan is a collectively bargained plan	No
2012-11-01	Plan funding arrangement – Insurance	Yes
2012-11-01	Plan funding arrangement – Trust	Yes
2012-11-01	Plan benefit arrangement – Insurance	Yes
2012-11-01	Plan benefit arrangement - Trust	Yes
2011: R. W. SMITH & CO. 401(K) PLAN 2011 form 5500 responses
2011-11-01	Type of plan entity	Single employer plan
2011-11-01	This submission is the final filing	No
2011-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-11-01	Plan is a collectively bargained plan	No
2011-11-01	Plan funding arrangement – Insurance	Yes
2011-11-01	Plan funding arrangement – Trust	Yes
2011-11-01	Plan benefit arrangement – Insurance	Yes
2011-11-01	Plan benefit arrangement - Trust	Yes
2009: R. W. SMITH & CO. 401(K) PLAN 2009 form 5500 responses
2009-11-01	Type of plan entity	Single employer plan
2009-11-01	This submission is the final filing	No
2009-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-11-01	Plan is a collectively bargained plan	No
2009-11-01	Plan funding arrangement – Insurance	Yes
2009-11-01	Plan funding arrangement – Trust	Yes
2009-11-01	Plan benefit arrangement – Insurance	Yes
2009-11-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	235
Insurance policy start date	2015-11-01
Insurance policy end date	2016-10-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	180
Insurance policy start date	2014-11-01
Insurance policy end date	2015-10-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	190
Insurance policy start date	2013-11-01
Insurance policy end date	2014-10-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	193
Insurance policy start date	2012-11-01
Insurance policy end date	2013-10-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	197
Insurance policy start date	2011-11-01
Insurance policy end date	2012-10-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	185
Insurance policy start date	2010-11-01
Insurance policy end date	2011-10-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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The information provided on this website is not advice, endorsement or recommendation
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:	R.W. SMITH & CO.
Employer identification number (EIN):	951962438
NAIC Classification:	423800

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	1999-08-12
Company Identification Number:	0012775406
Legal Registered Office Address:	10101 OLD GROVE RD SAN DIEGO United States of America (USA) 92131