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FORM 5500 DATA

A to Z Machine Co., Inc 401k Salary Reduction Plan

Overview

Plan Information

  • Plan Year10/01/2018 — 09/30/2019
  • Date of Plan10/01/1996
  • Net Assets as of 09/30/2019 $14,344,681
  • 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?Yes
  • Plan Funding Arrangement Trust
  • Plan Benefit Arrangement Trust

Participant Information as of 09/30/2019

  • Active (Eligible) Participants128
  • Retired or separated participants receiving benefits3
  • Other retired or separated participants entitled to future benefits29
  • Subtotal160
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total160
  • Total number of participants as of 10/01/2018154
  • Number of participants with account balances160
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested3

Expenses

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

Sponsor Information

  • Address2701 E. Winslow Ave.
  • CityAppleton
  • StateWI
  • Zip54911-8647
  • Telephone(920) 993-0640
  • EIN39-1864014
  • Industry Code332700
  • Named AdministratorDave Reiter

Audit Information

  • Audit StatusAudited
  • AuditorWipfli LLP
  • Auditor EIN39-0758449
  • 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.
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.

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? Yes
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? Yes

Financials

Income and Expense Statement

Income $1,332,281
Contributions $973,053
Cash Contributions $973,053
Cash from Employers $348,096
Cash from Participants $585,808
Others (including rollovers) $39,149
Noncash Contributions $0
Total Earnings on Investments $358,707
Total Interest $16,130
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $16,130
Interest from Other Investments $0
Total Dividends $821,541
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 $-424,597
Net investment gain (loss) from pooled separate accounts $0
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 $-54,367
Other Income $521
Expenses $621,626
Total Benefit Payments $606,512
Directly to participants or beneficiaries, including direct rollovers $606,512
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 $15,114
Professional Fees $0
Contract Administrator Fees $0
Investment Advisory and management fees $10,318
Other Administrative Fees $4,796
Net Income $710,655
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

09/30/2019 09/30/2018 Change YOY
Total Assets $14,344,681 $13,722,888 4.53%
Total noninterest-bearing cash $0 $6,757 0.0%
Receivables $124,583 $217,607 -42.75%
Employer Contributions $118,662 $217,607 -45.47%
Participant Contributions $0 $0 0.0%
Other Contributions $5,921 $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 $284,201 $277,930 2.26%
Value of interest in common/collective trusts $1,440,361 $1,336,953 7.73%
Value of interest in pooled separate accounts $0 $0 0.0%
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 $12,495,536 $11,883,641 5.15%
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 $88,862 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 $88,862 0.0%
Net Assets $14,344,681 $13,634,026 5.21%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

  • Alerus Financial, N.A.
  • Associated Trust Company, N.A.

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
Associated Trust Company, N.A. Recordkeeping and information management (computing, tabulating, data processing, etc.), Consulting (pension), Trustee (discretionary), Investment management, Participant loan processing, Participant communication, Direct payment from the plan, Investment management fees paid directly by plan, Recordkeeping fees, Consulting fees NONE $11,368 $0 $11,368
Alerus Financial, N.A. Recordkeeping and information management (computing, tabulating, data processing, etc.), Trustee (bank, trust company, or similar financial institution), Trustee (directed), Participant loan processing, Direct payment from the plan, Recordkeeping fees NONE $3,746 $0 $3,746
Total $15,114 $0 $15,114

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
Federated Capital Preservation Fund Federated Capital DFE: Common/Collective Trust $1,231,702
Stable Value Fund Union Bond & Trust Company DFE: Common/Collective Trust $206,669
Money Market Common Tr Fund Associated Trust Company, N.A. DFE: Common/Collective Trust $1,990
Total $1,440,361

Insurance Information

Insurance Information

There are no insurance carriers listed for this plan.