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FORM 5500 DATA

Thompson Coburn LLP 401k Profit Sharing Plan

Overview

Plan Information

  • Plan Year01/01/2018 — 12/31/2018
  • Date of Plan01/01/1984
  • Net Assets as of 12/31/2018 $296,721,254
  • 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? No
  • Plan Funding Arrangement Trust
  • Plan Benefit Arrangement Trust

Participant Information as of 12/31/2018

  • Active (Eligible) Participants718
  • Retired or separated participants receiving benefits2
  • Other retired or separated participants entitled to future benefits191
  • Subtotal911
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total911
  • Total number of participants as of 01/01/2018884
  • Number of participants with account balances891
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested0

Expenses

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

Sponsor Information

  • AddressOne Us Bank Plaza, 31st Floor
  • CitySt. Louis
  • StateMO
  • Zip63101
  • Telephone(314) 552-6000
  • EIN43-0666662
  • Industry Code541110
  • Named AdministratorMatthew Finke

Audit Information

  • Audit StatusAudited
  • AuditorRubinbrown LLP
  • Auditor EIN43-0765316
  • 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.
2R Brokerage Window Participant-directed brokerage accounts provided as an investment option under the plan.
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.
3B Self-Employed Plan Plan covering Self-Employed individuals.

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 $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 $4,967,851
Contributions $21,532,213
Cash Contributions $21,532,213
Cash from Employers $9,815,372
Cash from Participants $6,142,627
Others (including rollovers) $5,574,214
Noncash Contributions $0
Total Earnings on Investments $-13,217,768
Total Interest $69,234
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $66,218
Interest from Other Investments $3,016
Total Dividends $2,920,569
Preferred Stock $0
Common Stock $0
Rents $0
Net gain (loss) on sale of assets $752,539
Aggregate Proceeds $934,536
Aggregate Carrying Amount $181,997
Total Unrealized Appreciation (depreciation) of assets $-161,125
Real Estate $0
Other $-161,125
Net investment gain (loss) from common/collective trusts $438,914
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 $-17,237,899
Other Income $-3,346,594
Expenses $21,440,335
Total Benefit Payments $21,046,565
Directly to participants or beneficiaries, including direct rollovers $21,046,565
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $1,490
Certain deemed distributions of participant loans $0
Interest expense $0
Total Administrative Expenses $392,280
Professional Fees $159,361
Contract Administrator Fees $0
Investment Advisory and management fees $232,919
Other Administrative Fees $0
Net Income $-16,472,484
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2018 12/31/2017 Change YOY
Total Assets $297,319,516 $313,512,817 -5.17%
Total noninterest-bearing cash $0 $0 0.0%
Receivables $13,461,782 $12,902,545 4.33%
Employer Contributions $9,815,372 $9,858,128 -0.43%
Participant Contributions $3,539,861 $2,942,008 20.32%
Other Contributions $106,549 $102,409 4.04%
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 $1,024,066 $1,313,243 -22.02%
Real estate (other than employer real property) $0 $0 0.0%
Loans (other than to participants) $0 $0 0.0%
Participants Loans $1,342,465 $1,169,426 14.80%
Value of interest in common/collective trusts $28,772,099 $23,116,058 24.47%
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 $202,375,040 $219,783,222 -7.92%
Value of funds held in insurance co. general account $0 $0 0.0%
Other Investments $50,344,064 $55,228,323 -8.84%
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 $598,262 $319,079 87.50%
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) $598,262 $319,079 87.50%
Net Assets $296,721,254 $313,193,738 -5.26%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

  • Oneamerica Retirement Services LLC

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
Oneamerica Retirement Services LLC Recordkeeping and information management (computing, tabulating, data processing, etc.), Participant loan processing, Participant communication, Direct payment from the plan, Redemption fees, Recordkeeping fees Recordkeeper $159,361 $0 $159,361
Argent Capital Management Investment management, Investment management fees paid directly by plan NONE $62,928 $0 $62,928
Moneta Group Investment Advisors Investment management, Investment management fees paid directly by plan NONE $60,259 $0 $60,259
Cutter & Company, Inc Investment management, Investment management fees paid directly by plan NONE $35,093 $0 $35,093
Trinity Wealth Advisors Investment management, Investment management fees paid directly by plan NONE $25,812 $0 $25,812
Buckingham Asset Management, Inc Investment management, Investment management fees paid directly by plan NONE $22,017 $0 $22,017
Kam-South, LLC Investment management, Investment management fees paid directly by plan NONE $19,638 $0 $19,638
Acropolis Investment Management LLC Investment management, Investment management fees paid directly by plan NONE $7,172 $0 $7,172
Bmo Harris Bank,N.A. Custodial (securities), Trustee (bank, trust company, or similar financial institution), Trustee (directed), Float revenue, Soft dollars commissions NONE $0 $0 $0
Total $392,280 $0 $392,280

Indirect Compensation

Name Source of Indirect Compensation* Nature of Service Description of Indirect Compensation Indirect Compensation Paid by Plan
Bmo Harris Bank, Na Oneamerica Retirement Services, LLC Custodial (securities), Trustee (bank, trust company, or similar financial institution), Trustee (directed), Float revenue, Soft dollars commissions Oneamerica Has A Revenue Sharing Agreement With Bmo Harris Bank, Na 2.25 Basis Points On Market Value Annualized Monthly $0
*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
Wells Fargo Stable Value Fund M Wells Fargo Bank, Na DFE: Common/Collective Trust $28,772,099
Total $28,772,099

Insurance Information

Insurance Information

There are no insurance carriers listed for this plan.