401k Plan data: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN plan

R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	005

R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Money purchase (other than target benefit)
Stock bonus
ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP.
The employer maintaining this ESOP is an S Corporation
Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

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. EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
005 2016-11-01 JAY KRUGER JAY KRUGER 2017-11-07
005 2015-11-01 JAYE KRUGER JAYE KRUGER 2017-04-12
005 2014-11-01 JAY KRUGER JAY KRUGER 2016-03-29
005 2013-11-01 JAY KRUGER JAY KRUGER 2015-03-17
005 2012-11-01 JAY KRUGER JAY KRUGER 2014-03-05
005 2011-11-01 JAY KRUGER JAY KRUGER 2013-03-20
005 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
005	2016-11-01	JAY KRUGER	JAY KRUGER	2017-11-07
005	2015-11-01	JAYE KRUGER	JAYE KRUGER	2017-04-12
005	2014-11-01	JAY KRUGER	JAY KRUGER	2016-03-29
005	2013-11-01	JAY KRUGER	JAY KRUGER	2015-03-17
005	2012-11-01	JAY KRUGER	JAY KRUGER	2014-03-05
005	2011-11-01	JAY KRUGER	JAY KRUGER	2013-03-20
005	2009-11-01	JAY KRUGER	JAY KRUGER	2011-04-13

Plan Statistics for R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2016: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year 2016-11-01 152
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. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year 2015-11-01 154
Total number of active participants reported on line 7a of the Form 5500 2015-11-01 153
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 0
Total of all active and inactive participants 2015-11-01 153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-11-01 0
Total participants 2015-11-01 153
Number of participants with account balances 2015-11-01 153
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. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-11-01 174
Total number of active participants reported on line 7a of the Form 5500 2014-11-01 138
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 16
Total of all active and inactive participants 2014-11-01 154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-11-01 0
Total participants 2014-11-01 154
Number of participants with account balances 2014-11-01 153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-11-01 11
2013: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-11-01 184
Total number of active participants reported on line 7a of the Form 5500 2013-11-01 131
Number of retired or separated participants receiving benefits 2013-11-01 1
Number of other retired or separated participants entitled to future benefits 2013-11-01 12
Total of all active and inactive participants 2013-11-01 144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-11-01 0
Total participants 2013-11-01 144
Number of participants with account balances 2013-11-01 144
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-11-01 19
2012: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-11-01 187
Total number of active participants reported on line 7a of the Form 5500 2012-11-01 143
Number of retired or separated participants receiving benefits 2012-11-01 3
Number of other retired or separated participants entitled to future benefits 2012-11-01 16
Total of all active and inactive participants 2012-11-01 162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-11-01 0
Total participants 2012-11-01 162
Number of participants with account balances 2012-11-01 162
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-11-01 7
2011: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-11-01 177
Total number of active participants reported on line 7a of the Form 5500 2011-11-01 127
Number of retired or separated participants receiving benefits 2011-11-01 2
Number of other retired or separated participants entitled to future benefits 2011-11-01 16
Total of all active and inactive participants 2011-11-01 145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-11-01 0
Total participants 2011-11-01 145
Number of participants with account balances 2011-11-01 144
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-11-01 15
2009: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-11-01 186
Total number of active participants reported on line 7a of the Form 5500 2009-11-01 125
Number of retired or separated participants receiving benefits 2009-11-01 7
Number of other retired or separated participants entitled to future benefits 2009-11-01 22
Total of all active and inactive participants 2009-11-01 154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-11-01 0
Total participants 2009-11-01 154
Number of participants with account balances 2009-11-01 153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-11-01 16

Measure	Date	Value
2016: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year	2016-11-01	152
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. EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year	2015-11-01	154
Total number of active participants reported on line 7a of the Form 5500	2015-11-01	153
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	0
Total of all active and inactive participants	2015-11-01	153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-11-01	0
Total participants	2015-11-01	153
Number of participants with account balances	2015-11-01	153
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. EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-11-01	174
Total number of active participants reported on line 7a of the Form 5500	2014-11-01	138
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	16
Total of all active and inactive participants	2014-11-01	154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-11-01	0
Total participants	2014-11-01	154
Number of participants with account balances	2014-11-01	153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-11-01	11
2013: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-11-01	184
Total number of active participants reported on line 7a of the Form 5500	2013-11-01	131
Number of retired or separated participants receiving benefits	2013-11-01	1
Number of other retired or separated participants entitled to future benefits	2013-11-01	12
Total of all active and inactive participants	2013-11-01	144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-11-01	0
Total participants	2013-11-01	144
Number of participants with account balances	2013-11-01	144
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-11-01	19
2012: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-11-01	187
Total number of active participants reported on line 7a of the Form 5500	2012-11-01	143
Number of retired or separated participants receiving benefits	2012-11-01	3
Number of other retired or separated participants entitled to future benefits	2012-11-01	16
Total of all active and inactive participants	2012-11-01	162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-11-01	0
Total participants	2012-11-01	162
Number of participants with account balances	2012-11-01	162
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-11-01	7
2011: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-11-01	177
Total number of active participants reported on line 7a of the Form 5500	2011-11-01	127
Number of retired or separated participants receiving benefits	2011-11-01	2
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	145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-11-01	0
Total participants	2011-11-01	145
Number of participants with account balances	2011-11-01	144
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-11-01	15
2009: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-11-01	186
Total number of active participants reported on line 7a of the Form 5500	2009-11-01	125
Number of retired or separated participants receiving benefits	2009-11-01	7
Number of other retired or separated participants entitled to future benefits	2009-11-01	22
Total of all active and inactive participants	2009-11-01	154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-11-01	0
Total participants	2009-11-01	154
Number of participants with account balances	2009-11-01	153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-11-01	16

Financial Data on R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2017 : R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets	2017-04-30	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2017-04-30	$0
Total unrealized appreciation/depreciation of assets	2017-04-30	$0
Total transfer of assets to this plan	2017-04-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-04-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-04-30	$0
Expenses. Interest paid	2017-04-30	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2017-04-30	$0
Total income from all sources (including contributions)	2017-04-30	$59,246
Total loss/gain on sale of assets	2017-04-30	$0
Total of all expenses incurred	2017-04-30	$58,661,765
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-04-30	$58,661,765
Value of total corrective distributions	2017-04-30	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-04-30	$0
Value of total assets at end of year	2017-04-30	$0
Value of total assets at beginning of year	2017-04-30	$58,602,519
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-04-30	$0
Total income from rents	2017-04-30	$0
Total interest from all sources	2017-04-30	$59,246
Total dividends received (eg from common stock, registered investment company shares)	2017-04-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-04-30	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2017-04-30	$0
Total dividends received from registered investment company shares (eg mutual funds)	2017-04-30	$0
Administrative expenses professional fees incurred	2017-04-30	$0
Was this plan covered by a fidelity bond	2017-04-30	Yes
Value of fidelity bond cover	2017-04-30	$1,000,000
If this is an individual account plan, was there a blackout period	2017-04-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-04-30	$0
Were there any nonexempt tranactions with any party-in-interest	2017-04-30	No
Amount of non-exempt transactions with any party-in-interest	2017-04-30	$0
Contributions received from participants	2017-04-30	$0
Participant contributions at end of year	2017-04-30	$0
Participant contributions at beginning of year	2017-04-30	$0
Income. Received or receivable in cash from other sources (including rollovers)	2017-04-30	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2017-04-30	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-04-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-04-30	$14,803
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-04-30	$0
Other income not declared elsewhere	2017-04-30	$0
Administrative expenses (other) incurred	2017-04-30	$0
Liabilities. Value of operating payables at beginning of year	2017-04-30	$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	2017-04-30	No
Income. Non cash contributions	2017-04-30	$0
Value of net income/loss	2017-04-30	$-58,602,519
Value of net assets at end of year (total assets less liabilities)	2017-04-30	$0
Value of net assets at beginning of year (total assets less liabilities)	2017-04-30	$58,602,519
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-04-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-04-30	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	2017-04-30	$0
Were any leases to which the plan was party in default or uncollectible	2017-04-30	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2017-04-30	$0
Investment advisory and management fees	2017-04-30	$0
Income. Interest from loans (other than to participants)	2017-04-30	$0
Interest earned on other investments	2017-04-30	$59,246
Income. Interest from US Government securities	2017-04-30	$0
Income. Interest from corporate debt instruments	2017-04-30	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-04-30	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-04-30	$58,587,716
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-04-30	$58,587,716
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-04-30	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2017-04-30	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-04-30	$0
Net investment gain/loss from pooled separate accounts	2017-04-30	$0
Net investment gain or loss from common/collective trusts	2017-04-30	$0
Net gain/loss from 103.12 investment entities	2017-04-30	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-04-30	No
Was there a failure to transmit to the plan any participant contributions	2017-04-30	No
Has the plan failed to provide any benefit when due under the plan	2017-04-30	No
Contributions received in cash from employer	2017-04-30	$0
Employer contributions (assets) at end of year	2017-04-30	$0
Employer contributions (assets) at beginning of year	2017-04-30	$0
Income. Dividends from preferred stock	2017-04-30	$0
Income. Dividends from common stock	2017-04-30	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-04-30	$58,661,765
Contract administrator fees	2017-04-30	$0
Liabilities. Value of benefit claims payable at beginning of year	2017-04-30	$0
Did the plan have assets held for investment	2017-04-30	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	2017-04-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-04-30	Yes
Aggregate proceeds on sale of assets	2017-04-30	$0
Aggregate carrying amount (costs) on sale of assets	2017-04-30	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2017-04-30	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-04-30	No
Opinion of an independent qualified public accountant for this plan	2017-04-30	Unqualified
Accountancy firm name	2017-04-30	PKF, LLP
Accountancy firm EIN	2017-04-30	813391684
2016 : R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP 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	$16,826,295
Total unrealized appreciation/depreciation of assets	2016-10-31	$16,826,295
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	$20
Expenses. Interest paid	2016-10-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2016-10-31	$0
Total income from all sources (including contributions)	2016-10-31	$16,882,788
Total loss/gain on sale of assets	2016-10-31	$0
Total of all expenses incurred	2016-10-31	$39,147
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-10-31	$39,147
Value of total corrective distributions	2016-10-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-10-31	$0
Value of total assets at end of year	2016-10-31	$58,602,519
Value of total assets at beginning of year	2016-10-31	$41,758,898
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-10-31	$0
Total income from rents	2016-10-31	$0
Total interest from all sources	2016-10-31	$56,493
Total dividends received (eg from common stock, registered investment company shares)	2016-10-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-10-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-10-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2016-10-31	$0
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	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-10-31	$0
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	$14,803
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-10-31	$1
Other income not declared elsewhere	2016-10-31	$0
Administrative expenses (other) incurred	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
Income. Non cash contributions	2016-10-31	$0
Value of net income/loss	2016-10-31	$16,843,641
Value of net assets at end of year (total assets less liabilities)	2016-10-31	$58,602,519
Value of net assets at beginning of year (total assets less liabilities)	2016-10-31	$41,758,878
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	$0
Income. Interest from loans (other than to participants)	2016-10-31	$0
Interest earned on other investments	2016-10-31	$0
Income. Interest from US Government securities	2016-10-31	$0
Income. Interest from corporate debt instruments	2016-10-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-10-31	$58,587,716
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-10-31	$41,192
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-10-31	$41,192
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-10-31	$56,493
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	$0
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
Assets. Invements in employer securities at end of year	2016-10-31	$0
Assets. Invements in employer securities at beginning of year	2016-10-31	$41,717,705
Contributions received in cash from employer	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	$39,147
Contract administrator fees	2016-10-31	$0
Liabilities. Value of benefit claims payable at end of year	2016-10-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2016-10-31	$20
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
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-10-31	No
Opinion of an independent qualified public accountant for this plan	2016-10-31	Unqualified
Accountancy firm name	2016-10-31	PKF, LLC
Accountancy firm EIN	2016-10-31	954354850
2015 : R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP 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	$14,675,602
Total unrealized appreciation/depreciation of assets	2015-10-31	$14,675,602
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	$20
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-10-31	$0
Expenses. Interest paid	2015-10-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2015-10-31	$0
Total income from all sources (including contributions)	2015-10-31	$16,069,105
Total loss/gain on sale of assets	2015-10-31	$0
Total of all expenses incurred	2015-10-31	$1,619,954
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-10-31	$1,619,954
Value of total corrective distributions	2015-10-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-10-31	$750,000
Value of total assets at end of year	2015-10-31	$41,758,898
Value of total assets at beginning of year	2015-10-31	$27,309,727
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-10-31	$0
Total income from rents	2015-10-31	$0
Total interest from all sources	2015-10-31	$25
Total dividends received (eg from common stock, registered investment company shares)	2015-10-31	$0
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	$0
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	$0
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	$0
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	$1
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-10-31	$1
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	$643,478
Administrative expenses (other) incurred	2015-10-31	$0
Liabilities. Value of operating payables 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
Income. Non cash contributions	2015-10-31	$0
Value of net income/loss	2015-10-31	$14,449,151
Value of net assets at end of year (total assets less liabilities)	2015-10-31	$41,758,878
Value of net assets at beginning of year (total assets less liabilities)	2015-10-31	$27,309,727
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	$0
Income. Interest from loans (other than to participants)	2015-10-31	$0
Interest earned on other investments	2015-10-31	$0
Income. Interest from US Government securities	2015-10-31	$0
Income. Interest from corporate debt instruments	2015-10-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-10-31	$41,192
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-10-31	$267,622
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-10-31	$267,622
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-10-31	$25
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	$0
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	No
Has the plan failed to provide any benefit when due under the plan	2015-10-31	No
Assets. Invements in employer securities at end of year	2015-10-31	$41,717,705
Assets. Invements in employer securities at beginning of year	2015-10-31	$27,042,104
Contributions received in cash from employer	2015-10-31	$750,000
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	$1,619,954
Contract administrator fees	2015-10-31	$0
Liabilities. Value of benefit claims payable at end of year	2015-10-31	$20
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	No
Opinion of an independent qualified public accountant for this plan	2015-10-31	Unqualified
Accountancy firm name	2015-10-31	PKF
Accountancy firm EIN	2015-10-31	954354850
2014 : R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP 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	$7,337,801
Total unrealized appreciation/depreciation of assets	2014-10-31	$7,337,801
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	$470,490
Expenses. Interest paid	2014-10-31	$39,992
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-10-31	$39,992
Total income from all sources (including contributions)	2014-10-31	$9,195,601
Total loss/gain on sale of assets	2014-10-31	$0
Total of all expenses incurred	2014-10-31	$1,160,851
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-10-31	$1,120,859
Value of total corrective distributions	2014-10-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-10-31	$510,482
Value of total assets at end of year	2014-10-31	$27,309,727
Value of total assets at beginning of year	2014-10-31	$19,745,467
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-10-31	$0
Total income from rents	2014-10-31	$0
Total interest from all sources	2014-10-31	$4
Total dividends received (eg from common stock, registered investment company shares)	2014-10-31	$0
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	$0
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	$0
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	$0
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	$1
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 end of year	2014-10-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-10-31	$470,490
Other income not declared elsewhere	2014-10-31	$1,347,314
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
Income. Non cash contributions	2014-10-31	$0
Value of net income/loss	2014-10-31	$8,034,750
Value of net assets at end of year (total assets less liabilities)	2014-10-31	$27,309,727
Value of net assets at beginning of year (total assets less liabilities)	2014-10-31	$19,274,977
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	$0
Income. Interest from loans (other than to participants)	2014-10-31	$0
Interest earned on other investments	2014-10-31	$0
Income. Interest from US Government securities	2014-10-31	$0
Income. Interest from corporate debt instruments	2014-10-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-10-31	$267,622
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-10-31	$41,164
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-10-31	$41,164
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-10-31	$4
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	$0
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	No
Has the plan failed to provide any benefit when due under the plan	2014-10-31	No
Assets. Invements in employer securities at end of year	2014-10-31	$27,042,104
Assets. Invements in employer securities at beginning of year	2014-10-31	$19,704,303
Contributions received in cash from employer	2014-10-31	$510,482
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	$1,120,859
Contract administrator fees	2014-10-31	$0
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	Unqualified
Accountancy firm name	2014-10-31	PKF
Accountancy firm EIN	2014-10-31	954354850
2013 : R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP 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	$1,334,145
Total unrealized appreciation/depreciation of assets	2013-10-31	$1,334,145
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	$470,490
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-10-31	$981,990
Expenses. Interest paid	2013-10-31	$83,469
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2013-10-31	$83,469
Total income from all sources (including contributions)	2013-10-31	$2,475,935
Total loss/gain on sale of assets	2013-10-31	$0
Total of all expenses incurred	2013-10-31	$630,285
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-10-31	$546,816
Value of total corrective distributions	2013-10-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-10-31	$594,969
Value of total assets at end of year	2013-10-31	$19,745,467
Value of total assets at beginning of year	2013-10-31	$18,411,317
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-10-31	$0
Total income from rents	2013-10-31	$0
Total interest from all sources	2013-10-31	$5
Total dividends received (eg from common stock, registered investment company shares)	2013-10-31	$0
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	$0
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	$0
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	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-10-31	$0
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	$2
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-10-31	$470,490
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-10-31	$981,990
Other income not declared elsewhere	2013-10-31	$546,816
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
Income. Non cash contributions	2013-10-31	$0
Value of net income/loss	2013-10-31	$1,845,650
Value of net assets at end of year (total assets less liabilities)	2013-10-31	$19,274,977
Value of net assets at beginning of year (total assets less liabilities)	2013-10-31	$17,429,327
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	$0
Income. Interest from loans (other than to participants)	2013-10-31	$0
Interest earned on other investments	2013-10-31	$0
Income. Interest from US Government securities	2013-10-31	$0
Income. Interest from corporate debt instruments	2013-10-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-10-31	$41,164
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-10-31	$41,157
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-10-31	$41,157
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-10-31	$5
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	$0
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
Assets. Invements in employer securities at end of year	2013-10-31	$19,704,303
Assets. Invements in employer securities at beginning of year	2013-10-31	$18,370,158
Contributions received in cash from employer	2013-10-31	$594,969
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	$546,816
Contract administrator fees	2013-10-31	$0
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	No
Opinion of an independent qualified public accountant for this plan	2013-10-31	Unqualified
Accountancy firm name	2013-10-31	PKF
Accountancy firm EIN	2013-10-31	954354850
2012 : R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP 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	$5,336,582
Total unrealized appreciation/depreciation of assets	2012-10-31	$5,336,582
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	$981,990
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-10-31	$1,495,542
Expenses. Interest paid	2012-10-31	$126,947
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2012-10-31	$126,947
Total income from all sources (including contributions)	2012-10-31	$6,911,267
Total loss/gain on sale of assets	2012-10-31	$0
Total of all expenses incurred	2012-10-31	$1,063,174
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-10-31	$936,227
Value of total corrective distributions	2012-10-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-10-31	$638,447
Value of total assets at end of year	2012-10-31	$18,411,317
Value of total assets at beginning of year	2012-10-31	$13,076,776
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-10-31	$0
Total income from rents	2012-10-31	$0
Total interest from all sources	2012-10-31	$11
Total dividends received (eg from common stock, registered investment company shares)	2012-10-31	$0
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	$0
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	$0
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	$0
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	$2
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-10-31	$3
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2012-10-31	$981,990
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-10-31	$1,493,490
Other income not declared elsewhere	2012-10-31	$936,227
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
Income. Non cash contributions	2012-10-31	$0
Value of net income/loss	2012-10-31	$5,848,093
Value of net assets at end of year (total assets less liabilities)	2012-10-31	$17,429,327
Value of net assets at beginning of year (total assets less liabilities)	2012-10-31	$11,581,234
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	$0
Income. Interest from loans (other than to participants)	2012-10-31	$0
Interest earned on other investments	2012-10-31	$0
Income. Interest from US Government securities	2012-10-31	$0
Income. Interest from corporate debt instruments	2012-10-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-10-31	$41,157
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-10-31	$43,197
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-10-31	$43,197
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-10-31	$11
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	$0
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
Assets. Invements in employer securities at end of year	2012-10-31	$18,370,158
Assets. Invements in employer securities at beginning of year	2012-10-31	$13,033,576
Contributions received in cash from employer	2012-10-31	$638,447
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	$936,227
Contract administrator fees	2012-10-31	$0
Liabilities. Value of benefit claims payable at end of year	2012-10-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2012-10-31	$2,052
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	No
Opinion of an independent qualified public accountant for this plan	2012-10-31	Unqualified
Accountancy firm name	2012-10-31	SLABAUGH ACCOUNTANCY CORPORATION
Accountancy firm EIN	2012-10-31	330886460
2011 : R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP 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	$-974,952
Total unrealized appreciation/depreciation of assets	2011-10-31	$-974,952
Total transfer of assets to this plan	2011-10-31	$0
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	$1,495,542
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-10-31	$2,004,990
Expenses. Interest paid	2011-10-31	$170,424
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2011-10-31	$170,424
Total income from all sources (including contributions)	2011-10-31	$1,461,032
Total loss/gain on sale of assets	2011-10-31	$0
Total of all expenses incurred	2011-10-31	$1,974,463
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-10-31	$1,804,039
Value of total corrective distributions	2011-10-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-10-31	$681,924
Value of total assets at end of year	2011-10-31	$13,076,776
Value of total assets at beginning of year	2011-10-31	$14,099,655
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-10-31	$0
Total income from rents	2011-10-31	$0
Total interest from all sources	2011-10-31	$45
Total dividends received (eg from common stock, registered investment company shares)	2011-10-31	$0
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	$0
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	$0
Participant contributions at end of year	2011-10-31	$0
Participant contributions at beginning of year	2011-10-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-10-31	$0
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	$3
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-10-31	$918
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-10-31	$1,493,490
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-10-31	$2,004,990
Other income not declared elsewhere	2011-10-31	$1,754,015
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
Income. Non cash contributions	2011-10-31	$0
Value of net income/loss	2011-10-31	$-513,431
Value of net assets at end of year (total assets less liabilities)	2011-10-31	$11,581,234
Value of net assets at beginning of year (total assets less liabilities)	2011-10-31	$12,094,665
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	$0
Income. Interest from loans (other than to participants)	2011-10-31	$0
Interest earned on other investments	2011-10-31	$0
Income. Interest from US Government securities	2011-10-31	$0
Income. Interest from corporate debt instruments	2011-10-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-10-31	$43,197
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-10-31	$90,209
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-10-31	$90,209
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-10-31	$45
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	$0
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
Assets. Invements in employer securities at end of year	2011-10-31	$13,033,576
Assets. Invements in employer securities at beginning of year	2011-10-31	$14,008,528
Contributions received in cash from employer	2011-10-31	$681,924
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	$1,804,039
Contract administrator fees	2011-10-31	$0
Liabilities. Value of benefit claims payable at end of year	2011-10-31	$2,052
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	No
Opinion of an independent qualified public accountant for this plan	2011-10-31	Unqualified
Accountancy firm name	2011-10-31	SLABAUGH ACCOUNTANCY CORPORATION
Accountancy firm EIN	2011-10-31	330886460
2010 : R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP 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
Funding deficiency by the employer to the plan for this plan year	2010-10-31	$0
Minimum employer required contribution for this plan year	2010-10-31	$883,071
Amount contributed by the employer to the plan for this plan year	2010-10-31	$883,071

Form 5500 Responses for R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN

2016: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP 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)	Yes
2016-11-01	Plan is a collectively bargained plan	No
2016-11-01	Plan funding arrangement – Trust	Yes
2016-11-01	Plan benefit arrangement - Trust	Yes
2015: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP 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 – Trust	Yes
2015-11-01	Plan benefit arrangement - Trust	Yes
2014: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP 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 – Trust	Yes
2014-11-01	Plan benefit arrangement - Trust	Yes
2013: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-11-01	Type of plan entity	Single employer plan
2013-11-01	Submission has been amended	Yes
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 – Trust	Yes
2013-11-01	Plan benefit arrangement - Trust	Yes
2012: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP 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 – Trust	Yes
2012-11-01	Plan benefit arrangement - Trust	Yes
2011: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP 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 – Trust	Yes
2011-11-01	Plan benefit arrangement - Trust	Yes
2009: R.W. SMITH & CO. EMPLOYEE STOCK OWNERSHIP 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 – Trust	Yes
2009-11-01	Plan benefit arrangement - Trust	Yes

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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