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FORM 5500 DATA

O'Rourke Companies Profit Sharing 401k Plan

Overview

Plan Information

  • Plan Year10/01/2010 — 09/30/2011
  • Date of Plan09/30/1979
  • Net Assets as of 09/30/2011 $2,934,994
  • 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 09/30/2011

  • Active (Eligible) Participants126
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits33
  • Subtotal159
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total159
  • Total number of participants as of 10/01/2010140
  • Number of participants with account balances124
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2

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
  • Named AdministratorLeslie Schmuck

Plan Administrator Information

  • Administrator NameO'Rourke Distributing Co., Inc.
  • Address223 Mccarty
  • CityHouston
  • StateTX
  • Zip77029
  • Telephone(713) 672-9666
  • Administrator EIN74-1814730

Audit Information

  • Audit StatusAudited
  • AuditorMike Dunson
  • Auditor EIN75-2902287
  • 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.
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 $301,518
Contributions $324,910
Cash Contributions $324,910
Cash from Employers $56,380
Cash from Participants $268,530
Others (including rollovers) $0
Noncash Contributions $0
Total Earnings on Investments $-23,490
Total Interest $4,975
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $4,975
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 $-28,465
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 $98
Expenses $187,716
Total Benefit Payments $84,814
Directly to participants or beneficiaries, including direct rollovers $84,814
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $76,202
Certain deemed distributions of participant loans $0
Interest expense $0
Total Administrative Expenses $26,700
Professional Fees $0
Contract Administrator Fees $0
Investment Advisory and management fees $26,700
Other Administrative Fees $0
Net Income $113,802
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

09/30/2011 09/30/2010 Change YOY
Total Assets $2,935,014 $2,821,212 4.03%
Total noninterest-bearing cash $7,533 $10,833 -30.46%
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 $145,246 $93,993 54.53%
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 $2,782,235 $2,716,386 2.42%
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 $20 $20 0.00%
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) $20 $20 0.00%
Net Assets $2,934,994 $2,821,192 4.03%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

  • John Hancock Life Insurance Company

Other Service Providers Receiving Direct or Indirect Compensation

There are no service providers listed for this plan.

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
Af Us Gov John Hancock USA DFE: Pooled Separate Account $700,074
Ls-Growth John Hancock USA DFE: Pooled Separate Account $525,149
Money John Hancock USA DFE: Pooled Separate Account $327,367
Idx Mid John Hancock USA DFE: Pooled Separate Account $172,711
Ls-Grgifl John Hancock USA DFE: Pooled Separate Account $86,144
Sci Tech John Hancock USA DFE: Pooled Separate Account $86,008
Smcp Va In John Hancock USA DFE: Pooled Separate Account $76,326
Ssga Mcv John Hancock USA DFE: Pooled Separate Account $71,578
Af Fun Inv John Hancock USA DFE: Pooled Separate Account $65,901
Af Growth John Hancock USA DFE: Pooled Separate Account $60,319
Ls-Moderat John Hancock USA DFE: Pooled Separate Account $58,949
Lc-Conserv John Hancock USA DFE: Pooled Separate Account $49,087
Vs Nat Res John Hancock USA DFE: Pooled Separate Account $48,182
Val Indx John Hancock USA DFE: Pooled Separate Account $47,475
Af Washmut John Hancock USA DFE: Pooled Separate Account $46,867
Total Retn John Hancock USA DFE: Pooled Separate Account $46,827
Ls-Balance John Hancock USA DFE: Pooled Separate Account $45,087
Idx 500 John Hancock USA DFE: Pooled Separate Account $43,936
Rl At 2010 John Hancock USA DFE: Pooled Separate Account $43,458
Ft Ff Gifl John Hancock USA DFE: Pooled Separate Account $33,758
Ftffalloc John Hancock USA DFE: Pooled Separate Account $17,538
Vs Hiyld John Hancock USA DFE: Pooled Separate Account $16,234
Europac John Hancock USA DFE: Pooled Separate Account $15,647
Idx Intl John Hancock USA DFE: Pooled Separate Account $14,703
Vs Rests John Hancock USA DFE: Pooled Separate Account $13,549
Small Grth John Hancock USA DFE: Pooled Separate Account $13,456
Af New Per John Hancock USA DFE: Pooled Separate Account $12,583
Af Inc Fun John Hancock USA DFE: Pooled Separate Account $12,378
World John Hancock USA DFE: Pooled Separate Account $7,481
Ny Venture John Hancock USA DFE: Pooled Separate Account $3,588
Develp Mkt John Hancock USA DFE: Pooled Separate Account $2,862
Rl At 2020 John Hancock USA DFE: Pooled Separate Account $2,428
Vs In Qb John Hancock USA DFE: Pooled Separate Account $2,409
Vs Tot John Hancock USA DFE: Pooled Separate Account $2,382
Vs Blucp John Hancock USA DFE: Pooled Separate Account $1,906
Fidadygold John Hancock USA DFE: Pooled Separate Account $1,857
Rl At 2030 John Hancock USA DFE: Pooled Separate Account $1,396
Rl At 2045 John Hancock USA DFE: Pooled Separate Account $1,367
Rl At 2025 John Hancock USA DFE: Pooled Separate Account $1,078
Af Ica John Hancock USA DFE: Pooled Separate Account $580
Massinvest John Hancock USA DFE: Pooled Separate Account $527
Ivy Asset John Hancock USA DFE: Pooled Separate Account $503
Energy John Hancock USA DFE: Pooled Separate Account $484
Rl At 2040 John Hancock USA DFE: Pooled Separate Account $126
Total $2,782,265

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock Life Insurance Co. 135
EIN 01-0233346
Industry Code 65838
Contract Number 93111
Contract Year 10/01/2010 — 09/30/2011
Value in General Account at Year End $0
Value in Separate Accounts at Year End $2,782,235
Insurance Fees and Commissions $21,378
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Lpl Financial 9785 Towne Centre Dr. San Diego, CA 92121 -1968 Insurance Agent or Broker $16,358 $0 N/A
Recordkeeping & Consulting Co. 4545 Fuller Drive, Suite 400 Irving, TX 75038 Third Party Administrator $0 $5,020 TRANSACTION 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