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MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 401k Plan overview

Plan NameMAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN
Plan identification number 001

MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
  • 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

MAXWELL TECHNOLOGIES, INC. has sponsored the creation of one or more 401k plans.

Company Name:MAXWELL TECHNOLOGIES, INC.
Employer identification number (EIN):952390133
NAIC Classification:335310

Additional information about MAXWELL TECHNOLOGIES, INC.

Jurisdiction of Incorporation: Florida Department of State Division of Corporations
Incorporation Date: 1998-12-18
Company Identification Number: P98000105334

More information about MAXWELL TECHNOLOGIES, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012020-01-01
0012020-01-01
0012019-01-01
0012019-01-01
0012018-01-01
0012017-01-01AMY CARROLL
0012016-01-01AILEEN GIPSON AILEEN GIPSON2017-10-16
0012015-01-01AILEEN GIPSON AILEEN GIPSON2016-10-17
0012014-01-01DAVID LYLE DAVID LYLE2015-10-15
0012013-01-01BARBARA THOMPSON BARBARA THOMPSON2014-10-15
0012012-01-01BARBARA THOMPSON
0012011-01-01BARBARA THOMPSON
0012009-01-01BARBARA THOMPSON BARBARA THOMPSON2010-09-28

Plan Statistics for MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN

401k plan membership statisitcs for MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN

Measure Date Value
2020: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01136
Total number of active participants reported on line 7a of the Form 55002020-01-010
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-010
Total of all active and inactive participants2020-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-010
Number of participants with account balances2020-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01364
Total number of active participants reported on line 7a of the Form 55002019-01-011
Number of retired or separated participants receiving benefits2019-01-012
Number of other retired or separated participants entitled to future benefits2019-01-01123
Total of all active and inactive participants2019-01-01126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01126
Number of participants with account balances2019-01-01126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01406
Total number of active participants reported on line 7a of the Form 55002018-01-01200
Number of retired or separated participants receiving benefits2018-01-011
Number of other retired or separated participants entitled to future benefits2018-01-01170
Total of all active and inactive participants2018-01-01371
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01371
Number of participants with account balances2018-01-01362
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01386
Total number of active participants reported on line 7a of the Form 55002017-01-01202
Number of retired or separated participants receiving benefits2017-01-011
Number of other retired or separated participants entitled to future benefits2017-01-01203
Total of all active and inactive participants2017-01-01406
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01406
Number of participants with account balances2017-01-01399
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01453
Total number of active participants reported on line 7a of the Form 55002016-01-01234
Number of retired or separated participants receiving benefits2016-01-011
Number of other retired or separated participants entitled to future benefits2016-01-01212
Total of all active and inactive participants2016-01-01447
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01447
Number of participants with account balances2016-01-01447
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01499
Total number of active participants reported on line 7a of the Form 55002015-01-01263
Number of retired or separated participants receiving benefits2015-01-011
Number of other retired or separated participants entitled to future benefits2015-01-01189
Total of all active and inactive participants2015-01-01453
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01453
Number of participants with account balances2015-01-01453
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01435
Total number of active participants reported on line 7a of the Form 55002014-01-01316
Number of retired or separated participants receiving benefits2014-01-011
Number of other retired or separated participants entitled to future benefits2014-01-01182
Total of all active and inactive participants2014-01-01499
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01499
Number of participants with account balances2014-01-01499
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01431
Total number of active participants reported on line 7a of the Form 55002013-01-01251
Number of retired or separated participants receiving benefits2013-01-012
Number of other retired or separated participants entitled to future benefits2013-01-01182
Total of all active and inactive participants2013-01-01435
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01435
Number of participants with account balances2013-01-01435
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-012
2012: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01447
Total number of active participants reported on line 7a of the Form 55002012-01-01230
Number of retired or separated participants receiving benefits2012-01-012
Number of other retired or separated participants entitled to future benefits2012-01-01199
Total of all active and inactive participants2012-01-01431
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01431
Number of participants with account balances2012-01-01431
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01437
Total number of active participants reported on line 7a of the Form 55002011-01-01217
Number of retired or separated participants receiving benefits2011-01-011
Number of other retired or separated participants entitled to future benefits2011-01-01229
Total of all active and inactive participants2011-01-01447
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01447
Number of participants with account balances2011-01-01445
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01431
Total number of active participants reported on line 7a of the Form 55002009-01-01168
Number of retired or separated participants receiving benefits2009-01-011
Number of other retired or separated participants entitled to future benefits2009-01-01244
Total of all active and inactive participants2009-01-01413
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01413
Number of participants with account balances2009-01-01413
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-011

Financial Data on MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN

Measure Date Value
2020 : MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total transfer of assets to this plan2020-12-31$0
Total transfer of assets from this plan2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$4,087,292
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$14,896,098
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$14,861,307
Expenses. Certain deemed distributions of participant loans2020-12-31$368
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$0
Value of total assets at end of year2020-12-31$0
Value of total assets at beginning of year2020-12-31$10,808,806
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$34,423
Total interest from all sources2020-12-31$368
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$163,037
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2020-12-31$0
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$163,037
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Other income not declared elsewhere2020-12-31$2,954,870
Administrative expenses (other) incurred2020-12-31$34,423
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$-10,808,806
Value of net assets at end of year (total assets less liabilities)2020-12-31$0
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$10,808,806
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$9,861,988
Interest on participant loans2020-12-31$368
Value of interest in common/collective trusts at beginning of year2020-12-31$946,818
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$950,151
Net investment gain or loss from common/collective trusts2020-12-31$18,866
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$14,861,307
Did the plan have assets held for investment2020-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31Yes
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31SILICON VALLEY ACCOUNTANCY CORP
Accountancy firm EIN2020-12-31770573994
2019 : MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total transfer of assets to this plan2019-12-31$0
Total transfer of assets to this plan2019-12-31$0
Total transfer of assets from this plan2019-12-31$1,291,679
Total transfer of assets from this plan2019-12-31$1,291,679
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$4,838,130
Total income from all sources (including contributions)2019-12-31$4,838,130
Total loss/gain on sale of assets2019-12-31$0
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$23,275,279
Total of all expenses incurred2019-12-31$23,275,279
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$23,177,700
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$23,177,700
Expenses. Certain deemed distributions of participant loans2019-12-31$32,040
Expenses. Certain deemed distributions of participant loans2019-12-31$32,040
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$892,051
Value of total assets at end of year2019-12-31$10,808,806
Value of total assets at end of year2019-12-31$10,808,806
Value of total assets at beginning of year2019-12-31$30,537,634
Value of total assets at beginning of year2019-12-31$30,537,634
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$65,539
Total interest from all sources2019-12-31$10,131
Total interest from all sources2019-12-31$10,131
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$247,646
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$247,646
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31Yes
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2019-12-31$0
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2019-12-31$0
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$247,646
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$247,646
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$647,165
Contributions received from participants2019-12-31$647,165
Participant contributions at beginning of year2019-12-31$360,776
Participant contributions at beginning of year2019-12-31$360,776
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$60,324
Other income not declared elsewhere2019-12-31$2,236
Other income not declared elsewhere2019-12-31$2,236
Administrative expenses (other) incurred2019-12-31$65,539
Administrative expenses (other) incurred2019-12-31$65,539
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$-18,437,149
Value of net income/loss2019-12-31$-18,437,149
Value of net assets at end of year (total assets less liabilities)2019-12-31$10,808,806
Value of net assets at end of year (total assets less liabilities)2019-12-31$10,808,806
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$30,537,634
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$30,537,634
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$9,861,988
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$9,861,988
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$27,617,432
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$27,617,432
Interest on participant loans2019-12-31$10,131
Interest on participant loans2019-12-31$10,131
Value of interest in common/collective trusts at end of year2019-12-31$946,818
Value of interest in common/collective trusts at end of year2019-12-31$946,818
Value of interest in common/collective trusts at beginning of year2019-12-31$2,559,426
Value of interest in common/collective trusts at beginning of year2019-12-31$2,559,426
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$3,645,624
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$3,645,624
Net investment gain or loss from common/collective trusts2019-12-31$40,442
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$184,562
Contributions received in cash from employer2019-12-31$184,562
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$23,177,700
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$23,177,700
Did the plan have assets held for investment2019-12-31Yes
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31SILICON VALLEY ACCOUNTANCY CORP
Accountancy firm name2019-12-31SILICON VALLEY ACCOUNTANCY CORP
Accountancy firm EIN2019-12-31770573994
Accountancy firm EIN2019-12-31770573994
2018 : MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total transfer of assets to this plan2018-12-31$0
Total transfer of assets from this plan2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$1,085,161
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$4,421,881
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$4,316,810
Expenses. Certain deemed distributions of participant loans2018-12-31$2,924
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$2,382,645
Value of total assets at end of year2018-12-31$30,537,634
Value of total assets at beginning of year2018-12-31$33,874,354
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$102,147
Total interest from all sources2018-12-31$18,294
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$795,830
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$795,830
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$1,555,322
Participant contributions at end of year2018-12-31$360,776
Participant contributions at beginning of year2018-12-31$338,631
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$379,459
Administrative expenses (other) incurred2018-12-31$102,147
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-3,336,720
Value of net assets at end of year (total assets less liabilities)2018-12-31$30,537,634
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$33,874,354
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$27,617,432
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$31,834,894
Interest on participant loans2018-12-31$18,294
Value of interest in common/collective trusts at end of year2018-12-31$2,559,426
Value of interest in common/collective trusts at beginning of year2018-12-31$1,700,829
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-2,169,432
Net investment gain or loss from common/collective trusts2018-12-31$57,824
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$447,864
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$4,316,810
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31SQUAR MILNER LLP
Accountancy firm EIN2018-12-31330835986
2017 : MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total transfer of assets from this plan2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$6,694,232
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$8,942,821
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$8,873,078
Expenses. Certain deemed distributions of participant loans2017-12-31$13,151
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$2,399,898
Value of total assets at end of year2017-12-31$33,874,354
Value of total assets at beginning of year2017-12-31$36,122,943
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$56,592
Total interest from all sources2017-12-31$18,317
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$669,775
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$669,775
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$1,730,749
Participant contributions at end of year2017-12-31$338,631
Participant contributions at beginning of year2017-12-31$393,008
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$171,781
Other income not declared elsewhere2017-12-31$20,667
Administrative expenses (other) incurred2017-12-31$56,592
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$-2,248,589
Value of net assets at end of year (total assets less liabilities)2017-12-31$33,874,354
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$36,122,943
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$31,834,894
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$13,120,319
Value of interest in pooled separate accounts at beginning of year2017-12-31$9,311,487
Interest on participant loans2017-12-31$18,317
Value of interest in common/collective trusts at end of year2017-12-31$1,700,829
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$13,298,129
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$3,523,411
Net investment gain or loss from common/collective trusts2017-12-31$62,164
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$497,368
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$8,873,078
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31Yes
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31SQUAR MILNER LLP
Accountancy firm EIN2017-12-31330835986
2016 : MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$4,542,670
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$7,379,030
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$7,337,733
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$2,582,791
Value of total assets at end of year2016-12-31$36,122,943
Value of total assets at beginning of year2016-12-31$38,959,303
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$41,297
Total interest from all sources2016-12-31$235,783
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$167,551
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$167,551
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$1,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$1,971,732
Participant contributions at end of year2016-12-31$393,008
Participant contributions at beginning of year2016-12-31$537,818
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$63,477
Other income not declared elsewhere2016-12-31$20,693
Administrative expenses (other) incurred2016-12-31$41,297
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$-2,836,360
Value of net assets at end of year (total assets less liabilities)2016-12-31$36,122,943
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$38,959,303
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$13,120,319
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$13,361,221
Value of interest in pooled separate accounts at end of year2016-12-31$9,311,487
Value of interest in pooled separate accounts at beginning of year2016-12-31$10,635,687
Interest on participant loans2016-12-31$17,169
Interest earned on other investments2016-12-31$218,614
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$13,298,129
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$14,424,577
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$959,103
Net investment gain/loss from pooled separate accounts2016-12-31$576,749
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$547,582
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$7,337,733
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31SQUAR MILNER LLP
Accountancy firm EIN2016-12-31330835986
2015 : MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$3,672,782
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$3,840,914
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$3,654,592
Expenses. Certain deemed distributions of participant loans2015-12-31$4,489
Value of total corrective distributions2015-12-31$1,804
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$3,382,913
Value of total assets at end of year2015-12-31$38,959,303
Value of total assets at beginning of year2015-12-31$39,127,435
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$180,029
Total interest from all sources2015-12-31$266,322
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$161,612
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$161,612
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$1,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$2,300,251
Participant contributions at end of year2015-12-31$537,818
Participant contributions at beginning of year2015-12-31$606,654
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$309,180
Other income not declared elsewhere2015-12-31$54,534
Administrative expenses (other) incurred2015-12-31$180,029
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-168,132
Value of net assets at end of year (total assets less liabilities)2015-12-31$38,959,303
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$39,127,435
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$13,361,221
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$12,666,464
Value of interest in pooled separate accounts at end of year2015-12-31$10,635,687
Value of interest in pooled separate accounts at beginning of year2015-12-31$11,295,263
Interest on participant loans2015-12-31$23,705
Interest earned on other investments2015-12-31$242,617
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$14,424,577
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$14,559,054
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-329,701
Net investment gain/loss from pooled separate accounts2015-12-31$137,102
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$773,482
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$3,654,592
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31SQUAR MILNER LLP
Accountancy firm EIN2015-12-31330835986
2014 : MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$4,916,519
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$3,539,029
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$3,527,005
Value of total corrective distributions2014-12-31$2,159
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$3,133,047
Value of total assets at end of year2014-12-31$39,127,435
Value of total assets at beginning of year2014-12-31$37,749,945
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$9,865
Total interest from all sources2014-12-31$287,281
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$145,394
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$145,394
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$1,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$2,102,693
Participant contributions at end of year2014-12-31$606,654
Participant contributions at beginning of year2014-12-31$654,921
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$427,563
Other income not declared elsewhere2014-12-31$133,802
Administrative expenses (other) incurred2014-12-31$9,865
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$1,377,490
Value of net assets at end of year (total assets less liabilities)2014-12-31$39,127,435
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$37,749,945
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$12,666,464
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$8,404,803
Value of interest in pooled separate accounts at end of year2014-12-31$11,295,263
Value of interest in pooled separate accounts at beginning of year2014-12-31$14,909,796
Interest on participant loans2014-12-31$26,196
Interest earned on other investments2014-12-31$261,085
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$14,559,054
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$13,780,425
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$346,770
Net investment gain/loss from pooled separate accounts2014-12-31$870,225
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$602,791
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$3,527,005
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31SQUAR MILNER LLP
Accountancy firm EIN2014-12-31330835986
2013 : MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$7,586,419
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$5,191,116
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$5,138,543
Expenses. Certain deemed distributions of participant loans2013-12-31$12,682
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$2,404,617
Value of total assets at end of year2013-12-31$37,749,945
Value of total assets at beginning of year2013-12-31$35,354,642
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$39,891
Total interest from all sources2013-12-31$311,077
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$85,041
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$85,041
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$1,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$1,742,387
Participant contributions at end of year2013-12-31$654,921
Participant contributions at beginning of year2013-12-31$584,217
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$152,541
Other income not declared elsewhere2013-12-31$14,344
Administrative expenses (other) incurred2013-12-31$39,891
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$2,395,303
Value of net assets at end of year (total assets less liabilities)2013-12-31$37,749,945
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$35,354,642
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$8,404,803
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$6,844,573
Value of interest in pooled separate accounts at end of year2013-12-31$14,909,796
Value of interest in pooled separate accounts at beginning of year2013-12-31$13,772,502
Interest on participant loans2013-12-31$25,734
Interest earned on other investments2013-12-31$285,343
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$13,780,425
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$14,153,350
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$1,756,066
Net investment gain/loss from pooled separate accounts2013-12-31$3,015,274
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$509,689
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$5,138,543
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31SQUAR, MILNER, PETERSON, MIRANDA
Accountancy firm EIN2013-12-31330835986
2012 : MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$5,687,019
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$3,017,575
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$2,937,983
Expenses. Certain deemed distributions of participant loans2012-12-31$2,223
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$2,397,996
Value of total assets at end of year2012-12-31$35,354,642
Value of total assets at beginning of year2012-12-31$32,685,198
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$77,369
Total interest from all sources2012-12-31$366,228
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$91,055
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$91,055
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$1,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$1,687,455
Participant contributions at end of year2012-12-31$584,217
Participant contributions at beginning of year2012-12-31$476,269
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$225,454
Other income not declared elsewhere2012-12-31$64,964
Administrative expenses (other) incurred2012-12-31$77,369
Total non interest bearing cash at beginning of year2012-12-31$36
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$2,669,444
Value of net assets at end of year (total assets less liabilities)2012-12-31$35,354,642
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$32,685,198
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$6,844,573
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$5,833,734
Value of interest in pooled separate accounts at end of year2012-12-31$13,772,502
Value of interest in pooled separate accounts at beginning of year2012-12-31$12,606,844
Interest on participant loans2012-12-31$21,569
Interest earned on other investments2012-12-31$344,659
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$14,153,350
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$13,768,315
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$973,936
Net investment gain/loss from pooled separate accounts2012-12-31$1,792,840
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$485,087
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$2,937,983
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31SQUAR, MILNER, PETERSON, MIRANDA
Accountancy firm EIN2012-12-31330835986
2011 : MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$2,119,229
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$2,751,713
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$2,708,925
Expenses. Certain deemed distributions of participant loans2011-12-31$-1,151
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$2,019,786
Value of total assets at end of year2011-12-31$32,685,198
Value of total assets at beginning of year2011-12-31$33,317,682
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$43,939
Total interest from all sources2011-12-31$391,699
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$71,807
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$71,807
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$1,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$1,496,457
Participant contributions at end of year2011-12-31$476,269
Participant contributions at beginning of year2011-12-31$344,778
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$108,503
Other income not declared elsewhere2011-12-31$40,036
Administrative expenses (other) incurred2011-12-31$43,939
Total non interest bearing cash at end of year2011-12-31$36
Total non interest bearing cash at beginning of year2011-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-632,484
Value of net assets at end of year (total assets less liabilities)2011-12-31$32,685,198
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$33,317,682
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$5,833,734
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$4,359,731
Value of interest in pooled separate accounts at end of year2011-12-31$12,606,844
Value of interest in pooled separate accounts at beginning of year2011-12-31$14,808,423
Interest on participant loans2011-12-31$18,561
Interest earned on other investments2011-12-31$373,138
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$13,768,315
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$13,804,750
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-540,993
Net investment gain/loss from pooled separate accounts2011-12-31$136,894
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$414,826
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$2,708,925
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31SQUAR, MILNER, PETERSON, MIRANDA
Accountancy firm EIN2011-12-31330835986
2010 : MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$4,958,809
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$2,420,721
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$2,371,015
Expenses. Certain deemed distributions of participant loans2010-12-31$-2,212
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,855,887
Value of total assets at end of year2010-12-31$33,317,682
Value of total assets at beginning of year2010-12-31$30,779,594
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$51,918
Total interest from all sources2010-12-31$446,898
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$39,436
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$39,436
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$1,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$1,240,837
Participant contributions at end of year2010-12-31$344,778
Participant contributions at beginning of year2010-12-31$304,797
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$236,047
Other income not declared elsewhere2010-12-31$40,321
Administrative expenses (other) incurred2010-12-31$51,918
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$2,538,088
Value of net assets at end of year (total assets less liabilities)2010-12-31$33,317,682
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$30,779,594
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$4,359,731
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$801,291
Value of interest in pooled separate accounts at end of year2010-12-31$14,808,423
Value of interest in pooled separate accounts at beginning of year2010-12-31$15,521,515
Interest on participant loans2010-12-31$16,721
Interest earned on other investments2010-12-31$430,177
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$13,804,750
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$14,151,991
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$352,561
Net investment gain/loss from pooled separate accounts2010-12-31$2,223,706
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$379,003
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$2,371,015
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31HUTCHINSON AND BLOODGOOD, LLP
Accountancy firm EIN2010-12-31950858589
2009 : MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN

2020: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingYes
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedYes
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: MAXWELL TECHNOLOGIES, INC. 401(K) SAVINGS PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number31115
Policy instance 1
Insurance contract or identification number31115
Number of Individuals Covered447
Insurance policy start date2017-01-01
Insurance policy end date2017-04-30
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?Yes
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number31115
Policy instance 1
Insurance contract or identification number31115
Number of Individuals Covered453
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number31115
Policy instance 1
Insurance contract or identification number31115
Number of Individuals Covered499
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number31115-010
Policy instance 1
Insurance contract or identification number31115-010
Number of Individuals Covered435
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number31115-010
Policy instance 1
Insurance contract or identification number31115-010
Number of Individuals Covered431
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number31115-010
Policy instance 1
Insurance contract or identification number31115-010
Number of Individuals Covered447
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number31115-010
Policy instance 1
Insurance contract or identification number31115-010
Number of Individuals Covered437
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No

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