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FORM 5500 DATA

Chemtron Corporation 401k Retirement Plan

Overview

Plan Information

  • Plan Year01/01/2015 — 12/31/2015
  • Date of Plan01/01/1993
  • Net Assets as of 12/31/2015 $3,158,709
  • Plan Number2
  • Plan Type Single Employer
  • Is the plan collectively bargained? No
  • Did the plan file for an extension of time or the DFVC Program?Yes
  • Plan Funding ArrangementInsurance Trust
  • Plan Benefit Arrangement Trust

Participant Information as of 12/31/2015

  • Active (Eligible) Participants123
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits5
  • Subtotal128
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total128
  • Total number of participants as of 01/01/2015133
  • Number of participants with account balances78
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested4

Expenses

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

Sponsor Information

  • Address35850 Schneider Court
  • CityAVON
  • StateOH
  • Zip44011
  • Telephone(440) 937-6348
  • EIN34-1325284
  • Industry Code325900
  • Named AdministratorRonald Guenther

Audit Information

  • Audit StatusAudited
  • AuditorMaloney & Novotny, LLC
  • Auditor EIN34-0677006
  • Audit Opinion Disclaimer
  • Audit TypeLimited Scope Audit

Benefits Provided Under the Plan

Code Benefit Description
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.
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.

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? No
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 $500,000
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 $284,376
Contributions $332,458
Cash Contributions $332,458
Cash from Employers $37,329
Cash from Participants $248,983
Others (including rollovers) $46,146
Noncash Contributions $0
Total Earnings on Investments $-48,082
Total Interest $0
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $0
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 $-48,082
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 $0
Other Income $0
Expenses $54,938
Total Benefit Payments $46,180
Directly to participants or beneficiaries, including direct rollovers $46,180
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $0
Certain deemed distributions of participant loans $0
Interest expense $0
Total Administrative Expenses $8,758
Professional Fees $0
Contract Administrator Fees $8,758
Investment Advisory and management fees $0
Other Administrative Fees $0
Net Income $229,438
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2015 12/31/2014 Change YOY
Total Assets $3,158,709 $2,935,817 7.59%
Total noninterest-bearing cash $0 $0 0.0%
Receivables $0 $8,890 -100.00%
Employer Contributions $0 $1,219 -100.00%
Participant Contributions $0 $7,671 -100.00%
Other Contributions $0 $0 0.0%
General Investments $987 $3,943 -74.97%
Interest-bearing cash $987 $3,943 -74.97%
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 $0 $0 0.0%
Value of interest in common/collective trusts $0 $0 0.0%
Value of interest in pooled separate accounts $3,157,722 $2,922,984 8.03%
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 $0 $0 0.0%
Value of funds held in insurance co. general account $0 $0 0.0%
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 $6,546 -100.00%
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 $6,546 -100.00%
Net Assets $3,158,709 $2,929,271 7.83%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

  • John Hancock USA

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
John Hancock USA Recordkeeping and information management (computing, tabulating, data processing, etc.), Investment management, Shareholder servicing fees, Sub-transfer agency fees, Float revenue, Distribution (12b-1) fees, Soft dollars commissions Recordkeeper $7,784 $0 $7,784
Total $7,784 $0 $7,784

Indirect Compensation

There are no service providers with indirect compensation listed for this plan.

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
Jh Ls Grow Active Strategy John Hancock USA DFE: Pooled Separate Account $1,187,431
Jh Ls Bal Active Strategy John Hancock USA DFE: Pooled Separate Account $1,187,127
Jh Ls Agg Active Strategy John Hancock USA DFE: Pooled Separate Account $133,959
Jh Ls Con Active Strategy John Hancock USA DFE: Pooled Separate Account $90,769
Money Market Fund John Hancock USA DFE: Pooled Separate Account $84,547
Vanguard Small Cap Grow Index John Hancock USA DFE: Pooled Separate Account $50,330
Mid Cap Index Fund John Hancock USA DFE: Pooled Separate Account $49,697
Jh Ls Mod Active Strategy John Hancock USA DFE: Pooled Separate Account $48,735
Blue Chip Growth Fund John Hancock USA DFE: Pooled Separate Account $43,065
Fidelity Advisor Total Bond John Hancock USA DFE: Pooled Separate Account $37,237
500 Index Fund John Hancock USA DFE: Pooled Separate Account $32,622
T. Rowe Price Equity Inc John Hancock USA DFE: Pooled Separate Account $32,226
Oppenheimer Developing Mkt John Hancock USA DFE: Pooled Separate Account $29,961
T. Rowe Price Sci & Tech John Hancock USA DFE: Pooled Separate Account $26,465
Pimco Real Return John Hancock USA DFE: Pooled Separate Account $22,390
Europacific Growth Fund John Hancock USA DFE: Pooled Separate Account $21,105
Dfa International Value John Hancock USA DFE: Pooled Separate Account $20,080
Franklin Small-Mid Growth John Hancock USA DFE: Pooled Separate Account $18,797
Real Est. Securities Fund John Hancock USA DFE: Pooled Separate Account $15,995
Value Fund John Hancock USA DFE: Pooled Separate Account $10,987
Vanguard Short-Term Federal John Hancock USA DFE: Pooled Separate Account $6,509
Oppenheimer Global John Hancock USA DFE: Pooled Separate Account $3,543
T. Rowe Price Health Sci John Hancock USA DFE: Pooled Separate Account $2,451
Vanguard Energy Fund John Hancock USA DFE: Pooled Separate Account $701
T. Rowe Price Sml Cap Val John Hancock USA DFE: Pooled Separate Account $670
Tocqueville Gold Fund John Hancock USA DFE: Pooled Separate Account $323
Ivy Asset Strategy Fund John Hancock USA DFE: Pooled Separate Account $0
Davis New York Venture John Hancock USA DFE: Pooled Separate Account $0
Pimco Total Return John Hancock USA DFE: Pooled Separate Account $0
Capital World Growth & Income John Hancock USA DFE: Pooled Separate Account $0
Fidelity Advisor Gold Fund John Hancock USA DFE: Pooled Separate Account $0
Total $3,157,722

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock 86
EIN 01-0233346
Industry Code 65838
Contract Number 22894
Contract Year 01/01/2015 — 12/31/2015
Value in General Account at Year End $987
Value in Separate Accounts at Year End $3,157,722
Insurance Fees and Commissions $9,383
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Morgan Stanley Insurance Services Insurance Agent or Broker $7,709 $108 OTHER ALLOWANCES
Tegrit Retirement Plan Services Third Party Administrator $0 $1,028 TPA COMPENSATION
Cbiz Benefits & Insurance Services Third Party Administrator $0 $521 TPA COMPENSATION
Mhm Retirement Plan Solutions Insurance Agent or Broker $0 $17 OTHER ALLOWANCES
Allocated Funds
Type of Contract GROUP ANNUITY
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 Group Annuity
Unallocated Funds
Type of Contract Unspecified
Balance at the end of the previous year $0
Additions $0
Contributions Deposited during the year $0
Dividends and credits $0
Interest credited during the year $0
Transferred from separate account $0
Other $0
Total of Balance and Additions $0
Deductions $0
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $0
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $0