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FORM 5500 DATA

O'Rourke Companies Profit Sharing 401k Plan

Overview

Plan Information

  • Plan Year10/01/2014 — 09/30/2015
  • Date of Plan09/30/1979
  • Net Assets as of 09/30/2015 $5,683,335
  • 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 09/30/2015

  • Active (Eligible) Participants216
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits63
  • Subtotal279
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total279
  • Total number of participants as of 10/01/2014268
  • Number of participants with account balances262
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested11

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 AdministratorAshley Brown
  • Named Plan SponsorAshley Brown

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.
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? 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 $934,912
Contributions $1,107,248
Cash Contributions $1,107,248
Cash from Employers $237,198
Cash from Participants $738,324
Others (including rollovers) $131,726
Noncash Contributions $0
Total Earnings on Investments $-172,336
Total Interest $9,895
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $9,895
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 $-182,231
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 $551,111
Total Benefit Payments $498,435
Directly to participants or beneficiaries, including direct rollovers $498,435
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $4,734
Certain deemed distributions of participant loans $16,704
Interest expense $0
Total Administrative Expenses $31,238
Professional Fees $0
Contract Administrator Fees $0
Investment Advisory and management fees $31,238
Other Administrative Fees $0
Net Income $383,801
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

09/30/2015 09/30/2014 Change YOY
Total Assets $5,683,335 $5,299,554 7.24%
Total noninterest-bearing cash $7,165 $3,931 82.27%
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 $267,927 $218,206 22.79%
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 $5,408,243 $5,077,417 6.52%
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 $20 -100.00%
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) $0 $20 -100.00%
Net Assets $5,683,335 $5,299,534 7.24%

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 $1,232 $0 $1,232
Total $1,232 $0 $1,232

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
Money Mkt John Hancock USA DFE: Pooled Separate Account $1,022,266
Jh Ls Grow Active Strategy John Hancock USA DFE: Pooled Separate Account $814,093
Ls Grgifl John Hancock USA DFE: Pooled Separate Account $545,677
Idx Mid John Hancock USA DFE: Pooled Separate Account $418,871
Jh Through 2040 Active Strategy John Hancock USA DFE: Pooled Separate Account $311,589
The Growth Fund of America John Hancock USA DFE: Pooled Separate Account $181,622
Jh Through 2030 Active Strategy John Hancock USA DFE: Pooled Separate Account $166,135
Jh Ls Con Active Strategy John Hancock USA DFE: Pooled Separate Account $154,794
500 Index Fund John Hancock USA DFE: Pooled Separate Account $142,438
T. Rowe Price Sci & Tech John Hancock USA DFE: Pooled Separate Account $125,328
Jh Ls Agg Active Strategy John Hancock USA DFE: Pooled Separate Account $108,523
Vanguard Value Index Fund John Hancock USA DFE: Pooled Separate Account $102,622
Washington Mutual Inv John Hancock USA DFE: Pooled Separate Account $99,462
Jh Ls Mod Active Strategy John Hancock USA DFE: Pooled Separate Account $89,802
Jh Through 2035 Active Strategy John Hancock USA DFE: Pooled Separate Account $84,804
Jh Through 2025 Active Strategy John Hancock USA DFE: Pooled Separate Account $83,105
Jh Through 2050 Active Strategy John Hancock USA DFE: Pooled Separate Account $66,972
Jh Through 2045 Active Strategy John Hancock USA DFE: Pooled Separate Account $66,867
Europacific Growth Fund John Hancock USA DFE: Pooled Separate Account $54,581
Jh Through 2055 Active Strategy John Hancock USA DFE: Pooled Separate Account $54,190
Total Stock Market Index Fund John Hancock USA DFE: Pooled Separate Account $50,901
Jh Through 2020 Active Strategy John Hancock USA DFE: Pooled Separate Account $49,366
Invesco Small Cap Growth John Hancock USA DFE: Pooled Separate Account $47,352
Vs Nat Res John Hancock USA DFE: Pooled Separate Account $43,758
New Perspective Fund John Hancock USA DFE: Pooled Separate Account $42,842
Mc Vl Etf John Hancock USA DFE: Pooled Separate Account $40,042
Ls Bagifl John Hancock USA DFE: Pooled Separate Account $35,997
Temp World John Hancock USA DFE: Pooled Separate Account $34,428
Pimco Total Return John Hancock USA DFE: Pooled Separate Account $34,357
Inc Fund of America John Hancock USA DFE: Pooled Separate Account $32,485
Ssga Mid Value Index Fund John Hancock USA DFE: Pooled Separate Account $31,056
Vs Rests John Hancock USA DFE: Pooled Separate Account $29,459
High Yield Fund John Hancock USA DFE: Pooled Separate Account $28,973
Jh Through 2015 Active Strategy John Hancock USA DFE: Pooled Separate Account $27,430
Ft Ff Gifl John Hancock USA DFE: Pooled Separate Account $25,798
Ft Founding Funds Alloc John Hancock USA DFE: Pooled Separate Account $25,287
Smcp Gr In John Hancock USA DFE: Pooled Separate Account $18,083
Davis New York Venture John Hancock USA DFE: Pooled Separate Account $16,338
Mc Gw Etf John Hancock USA DFE: Pooled Separate Account $14,960
Fidnewin John Hancock USA DFE: Pooled Separate Account $12,207
Capital World Bond Fund John Hancock USA DFE: Pooled Separate Account $9,537
Fundamental Inv John Hancock USA DFE: Pooled Separate Account $8,748
Jh Ls Bal Active Strategy John Hancock USA DFE: Pooled Separate Account $7,516
Investment Qual Bond Fund John Hancock USA DFE: Pooled Separate Account $7,445
Contra John Hancock USA DFE: Pooled Separate Account $6,786
Health Sci John Hancock USA DFE: Pooled Separate Account $5,856
Us Gov Securities John Hancock USA DFE: Pooled Separate Account $5,148
Af Am Bal John Hancock USA DFE: Pooled Separate Account $3,354
Oppen Deve Mkt John Hancock USA DFE: Pooled Separate Account $1,875
Ls Cogifl John Hancock USA DFE: Pooled Separate Account $1,373
Vs Sm Grth John Hancock USA DFE: Pooled Separate Account $1,212
Ls Mogifl John Hancock USA DFE: Pooled Separate Account $1,037
Blue Chip Growth Fund John Hancock USA DFE: Pooled Separate Account $970
Growth Income Fund John Hancock USA DFE: Pooled Separate Account $912
Vs Equity John Hancock USA DFE: Pooled Separate Account $886
Oppen Global John Hancock USA DFE: Pooled Separate Account $864
Small Cap Opp Fund John Hancock USA DFE: Pooled Separate Account $847
U.S. Equity Fund John Hancock USA DFE: Pooled Separate Account $823
Mutual Beacon John Hancock USA DFE: Pooled Separate Account $816
T. Rowe Price Sml Cap Val John Hancock USA DFE: Pooled Separate Account $794
T. Rowe Price Eq Inc. John Hancock USA DFE: Pooled Separate Account $789
Total Bond Mkt Fund John Hancock USA DFE: Pooled Separate Account $775
Active Bond Fund John Hancock USA DFE: Pooled Separate Account $738
Total Return Fund John Hancock USA DFE: Pooled Separate Account $715
Tocq Gold John Hancock USA DFE: Pooled Separate Account $448
Fid Lev Co John Hancock USA DFE: Pooled Separate Account $374
Vanguard Energy Fund John Hancock USA DFE: Pooled Separate Account $366
Real Rtrn John Hancock USA DFE: Pooled Separate Account $337
Discip Val John Hancock USA DFE: Pooled Separate Account $307
Sel Grow John Hancock USA DFE: Pooled Separate Account $295
Heritage John Hancock USA DFE: Pooled Separate Account $249
Opp Intb John Hancock USA DFE: Pooled Separate Account $239
Af Cap Wgi John Hancock USA DFE: Pooled Separate Account $236
Spectrum I John Hancock USA DFE: Pooled Separate Account $225
Vs Sctec John Hancock USA DFE: Pooled Separate Account $195
Vs Us High Yield John Hancock USA DFE: Pooled Separate Account $159
Vs Gl Bd John Hancock USA DFE: Pooled Separate Account $62
Vs Mc St John Hancock USA DFE: Pooled Separate Account $16
Vs Allcore John Hancock USA DFE: Pooled Separate Account $16
Dfa Tava John Hancock USA DFE: Pooled Separate Account $13
Lmc Agg Gr John Hancock USA DFE: Pooled Separate Account $11
Emerg Mk John Hancock USA DFE: Pooled Separate Account $9
Par Eq Inc John Hancock USA DFE: Pooled Separate Account $7
Fund Lcv John Hancock USA DFE: Pooled Separate Account $5
Total $5,408,245

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 10/01/2014 — 09/30/2015
Value in General Account at Year End $0
Value in Separate Accounts at Year End $5,680,330
Insurance Fees and Commissions $36,902
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Woodbury Financial Svcs 7755 Third Street North Oakdale, MN 55128 $0 $23,160 FINANCIAL ADVISOR FEES
Recordkeeping & Consulting Co. 4545 Fuller Drive, Suite 400 Irving, TX 75038 Third Party Administrator $0 $9,495 TRANSACTION FEES
Independent Financial Part 3030 N. Rocky Point Dr. W. Tampa, FL 33607 $0 $4,247 FINANCIAL ADVISOR 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