401k Plan data: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN plan

SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 401k Plan overview

Plan Name	SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN
Plan identification number	002

SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

SHIN-ETSU SILICONES OF AMERICA, INC has sponsored the creation of one or more 401k plans.

Company Name: SHIN-ETSU SILICONES OF AMERICA, INC

Employer identification number (EIN): 954015700

NAIC Classification: 325900
NAIC Description: Other Chemical Product and Preparation Manufacturing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01
002 2021-01-01
002 2020-01-01
002 2019-01-01
002 2018-01-01
002 2017-01-01 DONNA KUGLICS
002 2016-01-01 DONNA KUGLICS
002 2015-01-01 DONNA KUGLICS
002 2014-01-01 DONNA KUGLICS
002 2013-01-01 DONNA KUGLICS

Plan Statistics for SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN

401k plan membership statisitcs for SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN

Measure Date Value
2022: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 265
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 262
Number of retired or separated participants receiving benefits 2022-01-01 39
Number of other retired or separated participants entitled to future benefits 2022-01-01 0
Total of all active and inactive participants 2022-01-01 301
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 301
Number of participants with account balances 2022-01-01 216
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 2
2021: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 241
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 229
Number of retired or separated participants receiving benefits 2021-01-01 2
Number of other retired or separated participants entitled to future benefits 2021-01-01 31
Total of all active and inactive participants 2021-01-01 262
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 262
Number of participants with account balances 2021-01-01 204
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 1
2020: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 246
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 213
Number of retired or separated participants receiving benefits 2020-01-01 2
Number of other retired or separated participants entitled to future benefits 2020-01-01 27
Total of all active and inactive participants 2020-01-01 242
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 242
Number of participants with account balances 2020-01-01 183
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 2
2019: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 228
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 216
Number of retired or separated participants receiving benefits 2019-01-01 4
Number of other retired or separated participants entitled to future benefits 2019-01-01 34
Total of all active and inactive participants 2019-01-01 254
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 254
Number of participants with account balances 2019-01-01 188
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 181
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 195
Number of retired or separated participants receiving benefits 2018-01-01 3
Number of other retired or separated participants entitled to future benefits 2018-01-01 23
Total of all active and inactive participants 2018-01-01 221
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 221
Number of participants with account balances 2018-01-01 176
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 206
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 185
Number of retired or separated participants receiving benefits 2017-01-01 1
Number of other retired or separated participants entitled to future benefits 2017-01-01 0
Total of all active and inactive participants 2017-01-01 186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 186
Number of participants with account balances 2017-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 208
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 171
Number of retired or separated participants receiving benefits 2016-01-01 3
Number of other retired or separated participants entitled to future benefits 2016-01-01 38
Total of all active and inactive participants 2016-01-01 212
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 212
Number of participants with account balances 2016-01-01 175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 209
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 173
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 28
Total of all active and inactive participants 2015-01-01 201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 201
Number of participants with account balances 2015-01-01 166
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 201
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 185
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 23
Total of all active and inactive participants 2014-01-01 208
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 208
Number of participants with account balances 2014-01-01 161
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 205
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 183
Number of other retired or separated participants entitled to future benefits 2013-01-01 16
Total of all active and inactive participants 2013-01-01 199
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 199
Number of participants with account balances 2013-01-01 147
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0

Measure	Date	Value
2022: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	265
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	262
Number of retired or separated participants receiving benefits	2022-01-01	39
Number of other retired or separated participants entitled to future benefits	2022-01-01	0
Total of all active and inactive participants	2022-01-01	301
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	301
Number of participants with account balances	2022-01-01	216
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	2
2021: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	241
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	229
Number of retired or separated participants receiving benefits	2021-01-01	2
Number of other retired or separated participants entitled to future benefits	2021-01-01	31
Total of all active and inactive participants	2021-01-01	262
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	262
Number of participants with account balances	2021-01-01	204
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	1
2020: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	246
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	213
Number of retired or separated participants receiving benefits	2020-01-01	2
Number of other retired or separated participants entitled to future benefits	2020-01-01	27
Total of all active and inactive participants	2020-01-01	242
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	242
Number of participants with account balances	2020-01-01	183
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	2
2019: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	228
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	216
Number of retired or separated participants receiving benefits	2019-01-01	4
Number of other retired or separated participants entitled to future benefits	2019-01-01	34
Total of all active and inactive participants	2019-01-01	254
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	254
Number of participants with account balances	2019-01-01	188
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	181
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	195
Number of retired or separated participants receiving benefits	2018-01-01	3
Number of other retired or separated participants entitled to future benefits	2018-01-01	23
Total of all active and inactive participants	2018-01-01	221
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	221
Number of participants with account balances	2018-01-01	176
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	206
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	185
Number of retired or separated participants receiving benefits	2017-01-01	1
Number of other retired or separated participants entitled to future benefits	2017-01-01	0
Total of all active and inactive participants	2017-01-01	186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	186
Number of participants with account balances	2017-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	208
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	171
Number of retired or separated participants receiving benefits	2016-01-01	3
Number of other retired or separated participants entitled to future benefits	2016-01-01	38
Total of all active and inactive participants	2016-01-01	212
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	212
Number of participants with account balances	2016-01-01	175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	209
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	173
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	28
Total of all active and inactive participants	2015-01-01	201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	201
Number of participants with account balances	2015-01-01	166
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	201
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	185
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	23
Total of all active and inactive participants	2014-01-01	208
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	208
Number of participants with account balances	2014-01-01	161
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	205
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	183
Number of other retired or separated participants entitled to future benefits	2013-01-01	16
Total of all active and inactive participants	2013-01-01	199
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	199
Number of participants with account balances	2013-01-01	147
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0

Financial Data on SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN

Measure	Date	Value
2022 : SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-3,302,051
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$1,697,221
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$1,635,313
Expenses. Certain deemed distributions of participant loans	2022-12-31	$4,210
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$2,025,837
Value of total assets at end of year	2022-12-31	$27,709,109
Value of total assets at beginning of year	2022-12-31	$32,708,381
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$57,698
Total interest from all sources	2022-12-31	$52,259
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$1,417,600
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$1,417,600
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$1,202,404
Participant contributions at end of year	2022-12-31	$462,728
Participant contributions at beginning of year	2022-12-31	$600,444
Participant contributions at end of year	2022-12-31	$45,188
Participant contributions at beginning of year	2022-12-31	$39,815
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$43,324
Other income not declared elsewhere	2022-12-31	$56
Total non interest bearing cash at end of year	2022-12-31	$0
Total non interest bearing cash at beginning of year	2022-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Income. Non cash contributions	2022-12-31	$0
Value of net income/loss	2022-12-31	$-4,999,272
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$27,709,109
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$32,708,381
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$24,913,115
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$29,250,028
Interest on participant loans	2022-12-31	$24,316
Interest earned on other investments	2022-12-31	$27,943
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2022-12-31	$12,446
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2022-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2022-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2022-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$2,069,501
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$2,664,735
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-6,797,803
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$780,109
Employer contributions (assets) at end of year	2022-12-31	$206,131
Employer contributions (assets) at beginning of year	2022-12-31	$153,359
Income. Dividends from preferred stock	2022-12-31	$0
Income. Dividends from common stock	2022-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$1,635,313
Contract administrator fees	2022-12-31	$57,698
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	BOBER, MARKEY, FEDOROVICH & CO.
Accountancy firm EIN	2022-12-31	341523030
2021 : SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Expenses. Interest paid	2021-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$6,303,337
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$1,200,581
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$1,147,502
Expenses. Certain deemed distributions of participant loans	2021-12-31	$0
Value of total corrective distributions	2021-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$2,103,538
Value of total assets at end of year	2021-12-31	$32,708,381
Value of total assets at beginning of year	2021-12-31	$27,605,625
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$53,079
Total interest from all sources	2021-12-31	$52,446
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$1,565,292
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$1,565,292
Administrative expenses professional fees incurred	2021-12-31	$0
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$1,233,860
Participant contributions at end of year	2021-12-31	$600,444
Participant contributions at beginning of year	2021-12-31	$494,770
Participant contributions at end of year	2021-12-31	$39,815
Participant contributions at beginning of year	2021-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$147,564
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2021-12-31	$0
Total non interest bearing cash at end of year	2021-12-31	$0
Total non interest bearing cash at beginning of year	2021-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Income. Non cash contributions	2021-12-31	$0
Value of net income/loss	2021-12-31	$5,102,756
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$32,708,381
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$27,605,625
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$29,250,028
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$25,043,551
Interest on participant loans	2021-12-31	$26,650
Income. Interest from loans (other than to participants)	2021-12-31	$0
Interest earned on other investments	2021-12-31	$25,796
Income. Interest from US Government securities	2021-12-31	$0
Income. Interest from corporate debt instruments	2021-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2021-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$2,664,735
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$1,965,636
Expenses. Payments to insurance carriers foe the provision of benefits	2021-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$2,582,061
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$722,114
Employer contributions (assets) at end of year	2021-12-31	$153,359
Employer contributions (assets) at beginning of year	2021-12-31	$101,668
Income. Dividends from preferred stock	2021-12-31	$0
Income. Dividends from common stock	2021-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$1,147,502
Contract administrator fees	2021-12-31	$53,079
Did the plan have assets held for investment	2021-12-31	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	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Aggregate proceeds on sale of assets	2021-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2021-12-31	$0
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	BOBER, MARKEY, FEDOROVICH & CO.
Accountancy firm EIN	2021-12-31	341523030
2020 : SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$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	$5,433,590
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$1,913,695
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$1,863,300
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,791,217
Value of total assets at end of year	2020-12-31	$27,605,625
Value of total assets at beginning of year	2020-12-31	$24,085,730
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$50,395
Total interest from all sources	2020-12-31	$53,570
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$733,821
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$733,821
Administrative expenses professional fees incurred	2020-12-31	$0
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$1,135,416
Participant contributions at end of year	2020-12-31	$494,770
Participant contributions at beginning of year	2020-12-31	$457,088
Participant contributions at end of year	2020-12-31	$0
Participant contributions at beginning of year	2020-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$9,476
Administrative expenses (other) incurred	2020-12-31	$0
Total non interest bearing cash at end of year	2020-12-31	$0
Total non interest bearing cash at beginning of year	2020-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$3,519,895
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$27,605,625
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$24,085,730
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Investment advisory and management fees	2020-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$25,043,551
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$22,311,941
Interest on participant loans	2020-12-31	$27,471
Interest earned on other investments	2020-12-31	$26,099
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$1,965,636
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$1,179,050
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$2,854,982
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$646,325
Employer contributions (assets) at end of year	2020-12-31	$101,668
Employer contributions (assets) at beginning of year	2020-12-31	$137,651
Income. Dividends from common stock	2020-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$1,863,300
Contract administrator fees	2020-12-31	$50,395
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	BOBER, MARKEY, FEDOROVICH & CO.
Accountancy firm EIN	2020-12-31	341523030
2019 : SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	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 income from all sources (including contributions)	2019-12-31	$6,276,090
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$1,212,046
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$1,165,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,756,062
Value of total assets at end of year	2019-12-31	$24,085,730
Value of total assets at beginning of year	2019-12-31	$19,021,686
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$47,046
Total interest from all sources	2019-12-31	$40,995
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$696,431
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$696,431
Administrative expenses professional fees incurred	2019-12-31	$0
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$1,013,868
Participant contributions at end of year	2019-12-31	$457,088
Participant contributions at beginning of year	2019-12-31	$543,419
Participant contributions at end of year	2019-12-31	$0
Participant contributions at beginning of year	2019-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$94,700
Administrative expenses (other) incurred	2019-12-31	$0
Total non interest bearing cash at end of year	2019-12-31	$0
Total non interest bearing cash at beginning of year	2019-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$5,064,044
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$24,085,730
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$19,021,686
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$42,314
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$22,311,941
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$17,798,552
Interest on participant loans	2019-12-31	$27,118
Interest earned on other investments	2019-12-31	$13,877
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$1,179,050
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$533,989
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$3,782,602
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$647,494
Employer contributions (assets) at end of year	2019-12-31	$137,651
Employer contributions (assets) at beginning of year	2019-12-31	$145,726
Income. Dividends from common stock	2019-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$1,165,000
Contract administrator fees	2019-12-31	$4,732
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	BOBER, MARKEY, FEDOROVICH & CO.
Accountancy firm EIN	2019-12-31	341523030
2018 : SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$0
Total transfer of assets from this plan	2018-12-31	$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	$-133,694
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$1,348,754
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$1,307,686
Expenses. Certain deemed distributions of participant loans	2018-12-31	$0
Value of total corrective distributions	2018-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$1,803,414
Value of total assets at end of year	2018-12-31	$19,021,686
Value of total assets at beginning of year	2018-12-31	$20,504,134
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$41,068
Total interest from all sources	2018-12-31	$34,747
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$643,295
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$643,295
Administrative expenses professional fees incurred	2018-12-31	$0
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$990,814
Participant contributions at end of year	2018-12-31	$543,419
Participant contributions at beginning of year	2018-12-31	$410,510
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$28,162
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$185,896
Other income not declared elsewhere	2018-12-31	$0
Administrative expenses (other) incurred	2018-12-31	$0
Total non interest bearing cash at end of year	2018-12-31	$0
Total non interest bearing cash at beginning of year	2018-12-31	$19,956,717
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-1,482,448
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$19,021,686
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$20,504,134
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$36,333
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$17,798,552
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$0
Interest on participant loans	2018-12-31	$26,004
Interest earned on other investments	2018-12-31	$8,743
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$533,989
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-2,615,150
Net investment gain/loss from pooled separate accounts	2018-12-31	$0
Net investment gain or loss from common/collective trusts	2018-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$626,704
Employer contributions (assets) at end of year	2018-12-31	$145,726
Employer contributions (assets) at beginning of year	2018-12-31	$108,745
Income. Dividends from common stock	2018-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$1,307,686
Contract administrator fees	2018-12-31	$4,735
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Aggregate proceeds on sale of assets	2018-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2018-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	BOBER, MARKEY, FEDOROVICH & CO.
Accountancy firm EIN	2018-12-31	341523030
2017 : SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$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	$4,972,314
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$1,338,298
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,263,184
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$1,651,941
Value of total assets at end of year	2017-12-31	$20,504,134
Value of total assets at beginning of year	2017-12-31	$16,870,118
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$75,114
Total interest from all sources	2017-12-31	$18,659
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$315,516
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$315,516
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$903,637
Participant contributions at end of year	2017-12-31	$410,510
Participant contributions at beginning of year	2017-12-31	$471,735
Participant contributions at end of year	2017-12-31	$28,162
Participant contributions at beginning of year	2017-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$215,357
Total non interest bearing cash at end of year	2017-12-31	$19,956,717
Total non interest bearing cash at beginning of year	2017-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$3,634,016
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$20,504,134
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$16,870,118
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$15,734,393
Interest on participant loans	2017-12-31	$18,659
Value of interest in common/collective trusts at end of year	2017-12-31	$0
Value of interest in common/collective trusts at beginning of year	2017-12-31	$569,777
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$2,985,957
Net investment gain or loss from common/collective trusts	2017-12-31	$241
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$532,947
Employer contributions (assets) at end of year	2017-12-31	$108,745
Employer contributions (assets) at beginning of year	2017-12-31	$94,213
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,263,184
Contract administrator fees	2017-12-31	$75,114
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	BOBER, MARKEY, FEDOROVICH & CO.
Accountancy firm EIN	2017-12-31	341523030
2016 : SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$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	$3,156,184
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$1,356,724
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,301,506
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,623,474
Value of total assets at end of year	2016-12-31	$16,870,118
Value of total assets at beginning of year	2016-12-31	$15,070,658
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$55,218
Total interest from all sources	2016-12-31	$19,582
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$320,224
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$320,224
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$865,046
Participant contributions at end of year	2016-12-31	$471,735
Participant contributions at beginning of year	2016-12-31	$495,640
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$232,079
Other income not declared elsewhere	2016-12-31	$1,192,904
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$1,799,460
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$16,870,118
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$15,070,658
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$15,734,393
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$14,057,552
Interest on participant loans	2016-12-31	$19,582
Value of interest in common/collective trusts at end of year	2016-12-31	$569,777
Value of interest in common/collective trusts at beginning of year	2016-12-31	$517,466
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$526,349
Employer contributions (assets) at end of year	2016-12-31	$94,213
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,301,506
Contract administrator fees	2016-12-31	$55,218
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	BOBER, MARKEY, FEDOROVICH & CO.
Accountancy firm EIN	2016-12-31	341523030
2015 : SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$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	$1,286,364
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$890,475
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$836,996
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,235,797
Value of total assets at end of year	2015-12-31	$15,070,658
Value of total assets at beginning of year	2015-12-31	$14,674,769
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$53,479
Total interest from all sources	2015-12-31	$19,767
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$355,984
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$355,984
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$816,056
Participant contributions at end of year	2015-12-31	$495,640
Participant contributions at beginning of year	2015-12-31	$511,686
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$1,074
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$395,889
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$15,070,658
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$14,674,769
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$34,647
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$14,057,552
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$13,701,766
Interest on participant loans	2015-12-31	$19,767
Value of interest in common/collective trusts at end of year	2015-12-31	$517,466
Value of interest in common/collective trusts at beginning of year	2015-12-31	$461,317
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-336,922
Net investment gain or loss from common/collective trusts	2015-12-31	$11,738
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$418,667
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$836,996
Contract administrator fees	2015-12-31	$18,832
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	BOBER, MARKEY, FEDOROVICH & CO.
Accountancy firm EIN	2015-12-31	341523030
2014 : SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$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	$2,002,616
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$1,347,286
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,295,703
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,157,104
Value of total assets at end of year	2014-12-31	$14,674,769
Value of total assets at beginning of year	2014-12-31	$14,019,439
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$51,583
Total interest from all sources	2014-12-31	$19,961
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$402,284
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$402,284
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$721,089
Participant contributions at end of year	2014-12-31	$511,686
Participant contributions at beginning of year	2014-12-31	$467,979
Participant contributions at beginning of year	2014-12-31	$844
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$31,724
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$655,330
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$14,674,769
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$14,019,439
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$33,105
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$13,701,766
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$13,088,869
Interest on participant loans	2014-12-31	$19,961
Value of interest in common/collective trusts at end of year	2014-12-31	$461,317
Value of interest in common/collective trusts at beginning of year	2014-12-31	$461,193
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$413,043
Net investment gain or loss from common/collective trusts	2014-12-31	$10,224
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$404,291
Employer contributions (assets) at beginning of year	2014-12-31	$554
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,295,703
Contract administrator fees	2014-12-31	$18,478
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	BOBER, MARKEY, FEDOROVICH & CO.
Accountancy firm EIN	2014-12-31	341523030
2013 : SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$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	$3,473,267
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$891,723
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$865,980
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,082,726
Value of total assets at end of year	2013-12-31	$14,019,439
Value of total assets at beginning of year	2013-12-31	$11,437,895
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$25,743
Total interest from all sources	2013-12-31	$21,560
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$190,562
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$190,562
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$701,587
Participant contributions at end of year	2013-12-31	$467,979
Participant contributions at beginning of year	2013-12-31	$380,584
Participant contributions at end of year	2013-12-31	$844
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$2,581,544
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$14,019,439
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$11,437,895
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$13,088,869
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$9,623,531
Interest on participant loans	2013-12-31	$16,555
Value of interest in common/collective trusts at end of year	2013-12-31	$461,193
Value of interest in common/collective trusts at beginning of year	2013-12-31	$1,470,127
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$-36,347
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$-36,347
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$5,005
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$2,167,486
Net investment gain or loss from common/collective trusts	2013-12-31	$10,933
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$381,139
Employer contributions (assets) at end of year	2013-12-31	$554
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$865,980
Contract administrator fees	2013-12-31	$25,743
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2013-12-31	Yes
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	BOBER, MARKEY, FEDOROVICH & CO.
Accountancy firm EIN	2013-12-31	341523030

Form 5500 Responses for SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN

2022: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: SHIN-ETSU 401(K) RETIREMENT SAVINGS PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

781161

Policy instance

Insurance contract or identification number	781161
Number of Individuals Covered	199
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 62726 - 1

Policy instance

Insurance contract or identification number	MR 62726 - 1
Number of Individuals Covered	245
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 62726 - 1

Policy instance

Insurance contract or identification number	MR 62726 - 1
Number of Individuals Covered	228
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 62726 - 1

Policy instance

Insurance contract or identification number	MR 62726 - 1
Number of Individuals Covered	180
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 62726 - 1

Policy instance

Insurance contract or identification number	MR 62726 - 1
Number of Individuals Covered	180
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	SHIN-ETSU SILICONES OF AMERICA, INC
Employer identification number (EIN):	954015700
NAIC Classification:	325900
NAIC Description:	Other Chemical Product and Preparation Manufacturing