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FORM 5500 DATA

G.M. Johnson Companies, Inc. 401k and Profit Sharing Plan

Overview

Plan Information

  • Plan Year01/01/2006 — 12/31/2006
  • Date of Plan03/28/1979
  • Net Assets as of 12/31/2006 $2,974,784
  • 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 ArrangementInsurance Trust
  • Plan Benefit ArrangementInsurance Trust

Participant Information as of 12/31/2006

  • Active (Eligible) Participants99
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits17
  • Subtotal116
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total116
  • Total number of participants as of 01/01/2006118
  • Number of participants with account balances94
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested1
  • Number of participants required to be reported on Schedule SSA4

Expenses

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

Sponsor Information

  • Address655 Landmark Dr
  • CityArnold
  • StateMO
  • Zip63010-4626
  • Telephone(636) 296-3300
  • EIN43-0985085
  • Industry Code237310
  • Named AdministratorJanet M. Webb
  • Named Plan SponsorJanet M. Webb

Plan Administrator Information

  • Administrator NameSAME
  • Administrator EIN

Audit Information

  • Audit StatusAudited
  • AuditorSchowalter & Jabouri, P.C.
  • Auditor EIN43-1188822
  • 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.
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? 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 $250,000
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

Financials

Income and Expense Statement

Income $656,384
Contributions $356,529
Cash Contributions $356,529
Cash from Employers $55,809
Cash from Participants $294,881
Others (including rollovers) $5,839
Noncash Contributions $0
Total Earnings on Investments $299,693
Total Interest $7,076
Interest-Bearing Cash $2,148
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $4,928
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 $292,617
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 $162
Expenses $126,298
Total Benefit Payments $98,658
Directly to participants or beneficiaries, including direct rollovers $98,658
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $0
Certain deemed distributions of participant loans $13,590
Interest expense $0
Total Administrative Expenses $14,050
Professional Fees $0
Contract Administrator Fees $14,050
Investment Advisory and management fees $0
Other Administrative Fees $0
Net Income $530,086
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2006 12/31/2005 Change YOY
Total Assets $2,976,247 $2,444,865 21.73%
Total noninterest-bearing cash $9,860 $12,630 -21.93%
Receivables $0 $0 0.0%
Employer Contributions $0 $0 0.0%
Participant Contributions $0 $0 0.0%
Other Contributions $0 $0 0.0%
General Investments $91,547 $95,764 -4.40%
Interest-bearing cash $91,547 $95,764 -4.40%
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 $104,156 $60,837 71.21%
Value of interest in common/collective trusts $0 $0 0.0%
Value of interest in pooled separate accounts $2,711,838 $2,228,909 21.67%
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 $58,846 $46,725 25.94%
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 $1,463 $167 776.05%
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) $1,463 $167 776.05%
Net Assets $2,974,784 $2,444,698 21.68%

Service Providers

Service Providers

There are no service providers listed for this plan.

Investments

Investments

Name of Investment Investment Manager Type of Investment Dollar Value
Equity Income Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $381,974
U.S. Global Leaders Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $377,851
Blue Chip Growth Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $309,950
All Cap Core Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $186,660
International Value Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $166,310
Jh Lifestyle Moderate John Hancock Life Insurance Company DFE: Pooled Separate Account $124,855
Jh Lifestyle Balanced John Hancock Life Insurance Company DFE: Pooled Separate Account $97,858
Money Market Fund John Hancock Life Insurance Company DFE: Pooled Separate Account $91,547
Jh Lifestyle Growth John Hancock Life Insurance Company DFE: Pooled Separate Account $88,534
Real Est. Securities Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $71,378
Us Core Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $67,507
Mid Cap Stock Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $66,320
Jh Lifestyle Aggressive John Hancock Life Insurance Company DFE: Pooled Separate Account $63,154
High Yield Fund Vs John Hancock Life Insurance Company DFE: Pooled Separate Account $60,012
Utilities Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $59,011
Pacific Rim Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $47,916
International Core Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $40,121
Income & Value Fund Vs John Hancock Life Insurance Company DFE: Pooled Separate Account $39,710
Small Company Value Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $39,007
Emerging Small Co Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $37,694
Capital Appreciation Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $36,875
Intl Equity Index Fund John Hancock Life Insurance Company DFE: Pooled Separate Account $33,574
Science & Technology Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $33,430
Global Bond Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $28,122
Jh Lifestyle Conservative John Hancock Life Insurance Company DFE: Pooled Separate Account $26,498
Health Sciences Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $26,368
U.S. Government Secs Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $26,304
Small Cap Index Fund John Hancock Life Insurance Company DFE: Pooled Separate Account $22,529
Global Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $19,241
Dynamic Growth Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $15,715
Strategic Bond Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $14,503
U.S. Large Cap Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $14,220
Total Return Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $12,001
Value Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $11,171
All Cap Growth Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $10,053
Small Cap Opportunities Fund John Hancock Life Insurance Company DFE: Pooled Separate Account $10,021
Quantitative Mid Cap Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $9,943
500 Index Fund John Hancock Life Insurance Company DFE: Pooled Separate Account $7,708
Mid Cap Index Fund John Hancock Life Insurance Company DFE: Pooled Separate Account $5,097
Fundamental Value Fund John Hancock Life Insurance Company DFE: Pooled Separate Account $4,369
Intl Small Cap Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $4,206
Financial Services Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $3,657
Investment Qual Bond Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $3,338
All Cap Value Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $3,288
Active Bond Fund (Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $2,866
Strategic Opps Fund(Vs) John Hancock Life Insurance Company DFE: Pooled Separate Account $460
Global Allocation Fund Vs John Hancock Life Insurance Company DFE: Pooled Separate Account $459
Total $2,803,385

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock Life Insurance Company (U.S.A.) 94
EIN 01-0233346
Industry Code 65838
Contract Number 12787
Contract Year 01/01/2006 — 12/31/2006
Value in General Account at Year End $58,846
Value in Separate Accounts at Year End $2,803,384
Insurance Fees and Commissions $14,514
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
New England Securities Corporation Insurance Agent or Broker $13,128 $0 N/A
Benefits of Missouri, Inc. 14323 South Outer Forty, Ste. 600-N Chesterfield, MO 63017 -5793 Third Party Administrator $0 $1,386 TPA FORUM COMPENSATION
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 Guaranteed Investment
Balance at the end of the previous year $46,725
Additions $12,616
Contributions Deposited during the year $10,468
Dividends and credits $0
Interest credited during the year $2,148
Transferred from separate account $0
Other $0
Total of Balance and Additions $59,341
Deductions $495
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $266
Transferred to Separate Account $227
Other $2
Balance at the end of the current year $58,846