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FORM 5500 DATA

O'Rourke Companies Profit Sharing 401K Plan

Overview

Plan Information

  • Plan Year01/01/2019 — 12/31/2019
  • Date of Plan09/30/1979
  • Net Assets as of 12/31/2019 $0
  • 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
  • Report Description This is the final report filed for the plan.
  • Plan Funding ArrangementInsurance Trust
  • Plan Benefit ArrangementInsurance Trust

Participant Information as of 12/31/2019

  • Active (Eligible) Participants0
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits0
  • Subtotal0
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total0
  • Total number of participants as of 01/01/2019308
  • Number of participants with account balances0
  • 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

  • Address223 Mccarty
  • CityHouston
  • StateTX
  • Zip77029
  • Telephone(713) 672-9666
  • EIN74-1814730
  • Industry Code424700

Audit Information

  • Audit StatusAudited
  • AuditorSmith & Howard
  • Auditor EIN58-1250486
  • Audit Opinion Disclaimer
  • Audit TypeLimited Scope Audit

Benefits Provided Under the Plan

Code Benefit Description
2A Age/Service Weighted or New Comparability or Similar Plan Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New Comparability or Similar Plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the threshold or additional rate allowed under the permitted disparity rules of section 401(l)
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.
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? Yes $1,540
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? No
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? Yes
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 $3,787,188
Contributions $1,779,025
Cash Contributions $1,779,025
Cash from Employers $797,552
Cash from Participants $962,886
Others (including rollovers) $18,587
Noncash Contributions $0
Total Earnings on Investments $2,008,163
Total Interest $16,260
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $16,260
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 $1,991,903
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 $0
Other Income $0
Expenses $1,177,905
Total Benefit Payments $1,100,760
Directly to participants or beneficiaries, including direct rollovers $1,100,760
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 $77,145
Professional Fees $0
Contract Administrator Fees $48,399
Investment Advisory and management fees $19,331
Other Administrative Fees $9,415
Net Income $2,609,283
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $12,111,063

Asset and Liability Statement

12/31/2019 12/31/2018 Change YOY
Total Assets $0 $9,501,780 -100.00%
Total noninterest-bearing cash $0 $7,098 -100.00%
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 $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 $0 $281,668 -100.00%
Value of interest in common/collective trusts $0 $0 0.0%
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 $0 $9,213,014 -100.00%
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 $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 $0 $9,501,780 -100.00%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

  • John Hancock Insurance Co.

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 Life Insurance Company Recordkeeping and information management (computing, tabulating, data processing, etc.), Investment management, Shareholder servicing fees, Sub-transfer agency fees, Float revenue, Distribution (12b-1) fees, Other insurance wrap fees, Soft dollars commissions NONE $3,879 $0 $3,879
Total $3,879 $0 $3,879

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
Global John Hancock USA DFE: Pooled Separate Account $0
Idx 500 John Hancock USA DFE: Pooled Separate Account $0
Smcp Va In John Hancock USA DFE: Pooled Separate Account $0
Smcp Gr In John Hancock USA DFE: Pooled Separate Account $0
Mc Vl Etf John Hancock USA DFE: Pooled Separate Account $0
Mc Gw Etf John Hancock USA DFE: Pooled Separate Account $0
Energy John Hancock USA DFE: Pooled Separate Account $0
Tocq Gold John Hancock USA DFE: Pooled Separate Account $0
Small Val John Hancock USA DFE: Pooled Separate Account $0
Sci Tech John Hancock USA DFE: Pooled Separate Account $0
Brglball John Hancock USA DFE: Pooled Separate Account $0
Vs Blucp John Hancock USA DFE: Pooled Separate Account $0
Af Cap Wgi John Hancock USA DFE: Pooled Separate Account $0
Af New Per John Hancock USA DFE: Pooled Separate Account $0
Jpm Use John Hancock USA DFE: Pooled Separate Account $0
Discipval John Hancock USA DFE: Pooled Separate Account $0
Fund Lcv John Hancock USA DFE: Pooled Separate Account $0
Af Fun Inv John Hancock USA DFE: Pooled Separate Account $0
Beacon John Hancock USA DFE: Pooled Separate Account $0
Contra John Hancock USA DFE: Pooled Separate Account $0
Fidnewin John Hancock USA DFE: Pooled Separate Account $0
Vs Eqinc John Hancock USA DFE: Pooled Separate Account $0
Vs Sm Grth John Hancock USA DFE: Pooled Separate Account $0
Idx Small John Hancock USA DFE: Pooled Separate Account $0
Vs It Vl John Hancock USA DFE: Pooled Separate Account $0
Vs Intsm John Hancock USA DFE: Pooled Separate Account $0
Idx Intl John Hancock USA DFE: Pooled Separate Account $0
Sm-Md Grth John Hancock USA DFE: Pooled Separate Account $0
Vs Financl John Hancock USA DFE: Pooled Separate Account $0
Fidlevco John Hancock USA DFE: Pooled Separate Account $0
Europac John Hancock USA DFE: Pooled Separate Account $0
Us Sml Cap John Hancock USA DFE: Pooled Separate Account $0
Heritage John Hancock USA DFE: Pooled Separate Account $0
Intl Grw John Hancock USA DFE: Pooled Separate Account $0
Small Grth John Hancock USA DFE: Pooled Separate Account $0
Intl Grow John Hancock USA DFE: Pooled Separate Account $0
Vs Sctec John Hancock USA DFE: Pooled Separate Account $0
Opportunty John Hancock USA DFE: Pooled Separate Account $0
Vs Rests John Hancock USA DFE: Pooled Separate Account $0
Develp Mkt John Hancock USA DFE: Pooled Separate Account $0
New Opps John Hancock USA DFE: Pooled Separate Account $0
Vs Nat Res John Hancock USA DFE: Pooled Separate Account $0
Vs Midval John Hancock USA DFE: Pooled Separate Account $0
Vs Mc St John Hancock USA DFE: Pooled Separate Account $0
Idx Mid John Hancock USA DFE: Pooled Separate Account $0
Trowe Era John Hancock USA DFE: Pooled Separate Account $0
Par Eq Inc John Hancock USA DFE: Pooled Separate Account $0
Rl 2015 John Hancock USA DFE: Pooled Separate Account $0
Ls-Growth John Hancock USA DFE: Pooled Separate Account $0
Ls-Aggress John Hancock USA DFE: Pooled Separate Account $0
Ls-Cogifl John Hancock USA DFE: Pooled Separate Account $0
Ls-Mogifl John Hancock USA DFE: Pooled Separate Account $0
Ls-Bagifl John Hancock USA DFE: Pooled Separate Account $0
Ls-Grgifl John Hancock USA DFE: Pooled Separate Account $0
Ft Ff Gifl John Hancock USA DFE: Pooled Separate Account $0
Money John Hancock USA DFE: Pooled Separate Account $0
Af Us Gov John Hancock USA DFE: Pooled Separate Account $0
Ls-Balance John Hancock USA DFE: Pooled Separate Account $0
Ls-Moderat John Hancock USA DFE: Pooled Separate Account $0
Ls-Conserv John Hancock USA DFE: Pooled Separate Account $0
Rl 2020 John Hancock USA DFE: Pooled Separate Account $0
Rl 2025 John Hancock USA DFE: Pooled Separate Account $0
Rl 2030 John Hancock USA DFE: Pooled Separate Account $0
Rl 2035 John Hancock USA DFE: Pooled Separate Account $0
Rl 2040 John Hancock USA DFE: Pooled Separate Account $0
Rl 2045 John Hancock USA DFE: Pooled Separate Account $0
Rl 2050 John Hancock USA DFE: Pooled Separate Account $0
Rl 2055 John Hancock USA DFE: Pooled Separate Account $0
Rl 2060 John Hancock USA DFE: Pooled Separate Account $0
Tot Bmkt John Hancock USA DFE: Pooled Separate Account $0
Real Rtrn John Hancock USA DFE: Pooled Separate Account $0
Val Indx John Hancock USA DFE: Pooled Separate Account $0
Grth Indx John Hancock USA DFE: Pooled Separate Account $0
Vs Utilit John Hancock USA DFE: Pooled Separate Account $0
Us Equity John Hancock USA DFE: Pooled Separate Account $0
Idx Total John Hancock USA DFE: Pooled Separate Account $0
Inc Fund John Hancock USA DFE: Pooled Separate Account $0
Growth John Hancock USA DFE: Pooled Separate Account $0
World John Hancock USA DFE: Pooled Separate Account $0
Health Sci John Hancock USA DFE: Pooled Separate Account $0
Af Washmut John Hancock USA DFE: Pooled Separate Account $0
Af Am Bal John Hancock USA DFE: Pooled Separate Account $0
Af Cap Wb John Hancock USA DFE: Pooled Separate Account $0
Jh Bond John Hancock USA DFE: Pooled Separate Account $0
Vs In Qb John Hancock USA DFE: Pooled Separate Account $0
Fid Total John Hancock USA DFE: Pooled Separate Account $0
Vs Ushiyld John Hancock USA DFE: Pooled Separate Account $0
Spectrum I John Hancock USA DFE: Pooled Separate Account $0
All Asset John Hancock USA DFE: Pooled Separate Account $0
Opp Intb John Hancock USA DFE: Pooled Separate Account $0
Vs Hiyld John Hancock USA DFE: Pooled Separate Account $0
Vs Gl Bd John Hancock USA DFE: Pooled Separate Account $0
Trp Eq Inc John Hancock USA DFE: Pooled Separate Account $0
Total $0

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock Insurance Co. 0
EIN 01-0233346
Industry Code 65838
Contract Number 93111
Contract Year 01/01/2019 — 12/31/2019
Value in General Account at Year End $0
Value in Separate Accounts at Year End $0
Insurance Fees and Commissions $13,263
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Loren D. Stark Company 10750 Rockley Rd. Houston, TX 77099 Third Party Administrator $0 $13,263 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 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