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FORM 5500 DATA

The Plexus Groupe LLC 401k Profit Sharing Plan

Overview

Plan Information

  • Plan Year01/01/2017 — 12/31/2017
  • Date of Plan01/01/2000
  • Net Assets as of 12/31/2017 $12,417,941
  • Plan Number1
  • Plan Type Single Employer
  • Is the plan collectively bargained? No
  • Did the plan file for an extension of time or the DFVC Program? No
  • Plan Funding ArrangementInsurance Trust
  • Plan Benefit ArrangementInsurance Trust

Participant Information as of 12/31/2017

  • Active (Eligible) Participants98
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits39
  • Subtotal137
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total137
  • Total number of participants as of 01/01/2017134
  • Number of participants with account balances133
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested8

Expenses

  • Total Benefit Payments$0
  • Corrective Distributions$0
  • Administrative Service Providers$0
  • Other Expenses$0
  • Total Expenses$0
  • Total Transfers$0

Sponsor Information

  • Address21805 Field Parkway Suite 300
  • CityDeer Park
  • StateIL
  • Zip60010
  • Telephone(847) 307-6100
  • EIN36-4116295
  • Industry Code524210
  • Named AdministratorWalter Fawcett III
  • Named Plan SponsorWalter Fawcett III

Audit Information

  • Audit StatusAudited
  • AuditorJmm CPA
  • Auditor EIN47-2940358
  • Audit Opinion Disclaimer
  • Audit TypeLimited Scope Audit

Benefits Provided Under the Plan

Code Benefit Description
2E Profit-sharing A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature.
2F ERISA section 404(c) Plan This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
2G 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.
2J 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.
2K 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 contributions 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.
2S Automatic Enrollment Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
2T Participant-directed Account Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
3D 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.
3H Controlled Group Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

Questions and Answers

Question Answer Amount
During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? Yes $30,450
Were any loans by the plan or fixed income obligations due the plan in default as of the close of plan year or classified during the year as uncollectible? Disregard participant loans secured by participant's account balance. No
Were any leases to which the plan was a party in default or classified during the year as uncollectible? No
Were there any nonexempt transactions with any party-in-interest? No
Was this plan covered by a fidelity bond? Yes $1,000,000
Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No
Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan have assets held for investment? Yes
Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? No
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No
Has the plan failed to provide any benefit when due under the plan? No
If this is an individual account plan, was there a blackout period? No
If there was a blackout period, have you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3? No

Financials

Income and Expense Statement

Income $3,362,459
Contributions $1,631,096
Cash Contributions $1,631,096
Cash from Employers $228,198
Cash from Participants $798,000
Others (including rollovers) $604,898
Noncash Contributions $0
Total Earnings on Investments $1,731,363
Total Interest $3,084
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $3,084
Interest from Other Investments $0
Total Dividends $0
Preferred Stock $0
Common Stock $0
Rents $0
Net gain (loss) on sale of assets $0
Aggregate Proceeds $0
Aggregate Carrying Amount $0
Total Unrealized Appreciation (depreciation) of assets $0
Real Estate $0
Other $0
Net investment gain (loss) from common/collective trusts $0
Net investment gain (loss) from pooled separate accounts $1,151,043
Net investment gain (loss) from master trust investment accounts $0
Net investment gain (loss) from 103-12 investment entities $0
Net investment gain (loss) from registered investment companies $577,236
Other Income $0
Expenses $354,738
Total Benefit Payments $310,690
Directly to participants or beneficiaries, including direct rollovers $310,690
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $655
Certain deemed distributions of participant loans $19,892
Interest expense $0
Total Administrative Expenses $23,501
Professional Fees $0
Contract Administrator Fees $23,501
Investment Advisory and management fees $0
Other Administrative Fees $0
Net Income $3,007,721
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2017 12/31/2016 Change YOY
Total Assets $12,417,941 $9,410,220 31.96%
Total noninterest-bearing cash $0 $0 0.0%
Receivables $823 $0 0.0%
Employer Contributions $823 $0 0.0%
Participant Contributions $0 $0 0.0%
Other Contributions $0 $0 0.0%
General Investments $0 $0 0.0%
Interest-bearing cash $0 $0 0.0%
U.S. Government Securities $0 $0 0.0%
Corporate Debt Instruments $0 $0 0.0%
Preferred $0 $0 0.0%
All Other $0 $0 0.0%
Corporate Stocks $0 $0 0.0%
Preferred $0 $0 0.0%
Common $0 $0 0.0%
Partnership/joint venture interests $0 $0 0.0%
Real estate (other than employer real property) $0 $0 0.0%
Loans (other than to participants) $0 $0 0.0%
Participants Loans $70,453 $87,010 -19.03%
Value of interest in common/collective trusts $0 $0 0.0%
Value of interest in pooled separate accounts $8,377,214 $6,301,402 32.94%
Value of interest in master trust investment accounts $0 $0 0.0%
Value of interest in 103-12 investment entities $0 $0 0.0%
Value of interest in registered investment companies $3,529,972 $2,602,650 35.63%
Value of funds held in insurance co. general account $439,479 $419,158 4.85%
Other Investments $0 $0 0.0%
Employer-related Investments $0 $0 0.0%
Employer Securities $0 $0 0.0%
Employer Real Property $0 $0 0.0%
Buildings and other property used in plan operation $0 $0 0.0%
Total Liabilities $0 $0 0.0%
Benefit Claims Payable (1) $0 $0 0.0%
Operating Payables (1) $0 $0 0.0%
Acquisition Indebtedness (1) $0 $0 0.0%
Other liabilities (1) $0 $0 0.0%
Net Assets $12,417,941 $9,410,220 31.96%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

There is no information on eligible indirect compensation for this plan.

Other Service Providers Receiving Direct or Indirect Compensation

Name Nature of Service Relationship to Plan Sponsor Direct Compensation Paid by Plan Indirect Compensation Paid by Plan Total Compensation
Principal Life Insurance Company Contract Administrator, Participant loan processing, Direct payment from the plan, Recordkeeping fees Contact Administrator $21,760 $0 $21,760
Administrative Retirement Services Consulting (pension) Third Party Administrato $1,740 $4,627 $6,367
Total $23,500 $4,627 $28,127

Indirect Compensation

Name Source of Indirect Compensation* Nature of Service Description of Indirect Compensation Indirect Compensation Paid by Plan
Administrative Retirement Services Principal Life Insurance Company Consulting (pension) Referral/Service Fee $4,627
*As outlined by the Form 5500 Instructions for service providers with indirect compensation.

Service Providers Who Fail or Refuse to Provide Information

There are no service providers who failed or refused to provide information.

Termination Information on Accountants and Enrolled Actuaries

There is no termination information for this plan.

Investments

Investments

Name of Investment Investment Manager Type of Investment Dollar Value
Prin Lifetime Hybr 2035 Cit Z Prinicpal Global Investors Trust Co DFE: Common/Collective Trust $2,744,915
Prin Lifetime Hybr 2030 Cit Z Prinicpal Global Investors Trust Co DFE: Common/Collective Trust $2,098,958
Prin Lifetime Hybr 2040 Cit Z Prinicpal Global Investors Trust Co DFE: Common/Collective Trust $546,032
Prin Lifetime Hybr 2050 Cit Z Prinicpal Global Investors Trust Co DFE: Common/Collective Trust $407,084
Prin Lifetime Hybr 2025 Cit Z Prinicpal Global Investors Trust Co DFE: Common/Collective Trust $400,903
Prin Lifetime Hybr Inc Cit Z Prinicpal Global Investors Trust Co DFE: Common/Collective Trust $367,528
Prin Lifetime Hybr 2020 Cit Z Prinicpal Global Investors Trust Co DFE: Common/Collective Trust $316,560
Prin Lifetime Hybr 2045 Cit Z Prinicpal Global Investors Trust Co DFE: Common/Collective Trust $293,649
Prin Smcap S&P 600 Index Sa-Z Principal Life Insurance Company DFE: Pooled Separate Account $275,919
Prin Midcap S&P 400 Idx Sa-Z Principal Life Insurance Company DFE: Pooled Separate Account $189,289
Prin Midcap Value III Sa-Z Principal Life Insurance Company DFE: Pooled Separate Account $181,203
Prin Midcap Growth Sep Acct-Z Principal Life Insurance Company DFE: Pooled Separate Account $179,976
Prin Real Estate Secs Sa-Z Principal Life Insurance Company DFE: Pooled Separate Account $122,863
Prin Lifetime Hybr 2055 Cit Z Prinicpal Global Investors Trust Co DFE: Common/Collective Trust $118,486
Prin Lifetime Hybr 2015 Cit Z Principal Global Investers Trust Co DFE: Common/Collective Trust $92,149
Prin Lifetime Hybr 2060 Cit Z Prinicpal Global Investors Trust Co DFE: Common/Collective Trust $41,701
Total $8,377,215

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
Principal Life Insurance Company 138
EIN 42-0127290
Industry Code 61271
Contract Number 613953
Contract Year 01/01/2017 — 12/31/2017
Value in General Account at Year End $439,479
Value in Separate Accounts at Year End $8,377,215
Insurance Fees and Commissions $635
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Administrative Retirement Services 2 S 545 Il Route 53 Glen Ellyn, IL 60137 Insurance Agent or Broker $0 $635 TPA FEES
Allocated Funds
Type of Contract Unspecified
Basis of premium rates
Premiums paid to carrier $0
Premiums due but unpaid at the end of the year $0
If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, enter amount $0
Specify the nature of the costs
Unallocated Funds
Type of Contract CUSTODIAL GUARANTEED INTEREST CONTRACT
Balance at the end of the previous year $419,158
Additions $104,101
Contributions Deposited during the year $31,999
Dividends and credits $0
Interest credited during the year $7,731
Transferred from separate account $0
Other $64,371
Total of Balance and Additions $523,259
Deductions $83,780
Disbursed from fund to pay benefits or purchase annuities during the year $73,787
Administration charge made by carrier $1,130
Transferred to Separate Account $0
Other $8,863
Balance at the end of the current year $439,479