Back to top
FORM 5500 DATA

O'Rourke Companies Profit Sharing 401k Plan

Overview

Plan Information

  • Plan Year10/01/2016 — 09/30/2017
  • Date of Plan09/30/1979
  • Net Assets as of 09/30/2017 $8,958,641
  • 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 09/30/2017

  • Active (Eligible) Participants204
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits0
  • Subtotal204
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total204
  • Total number of participants as of 10/01/2016299
  • Number of participants with account balances204
  • 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
  • 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 $2,437,307
Contributions $1,471,155
Cash Contributions $1,471,155
Cash from Employers $371,517
Cash from Participants $811,414
Others (including rollovers) $288,224
Noncash Contributions $0
Total Earnings on Investments $966,152
Total Interest $15,731
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $15,731
Participant Loans $0
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 $950,421
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 $646,922
Total Benefit Payments $595,572
Directly to participants or beneficiaries, including direct rollovers $595,572
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 $51,350
Professional Fees $0
Contract Administrator Fees $4,808
Investment Advisory and management fees $35,592
Other Administrative Fees $10,950
Net Income $1,790,385
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

09/30/2017 09/30/2016 Change YOY
Total Assets $8,958,641 $7,168,256 24.98%
Total noninterest-bearing cash $7,098 $7,068 0.42%
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 $384,391 $293,158 31.12%
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 $8,567,152 $6,868,030 24.74%
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 $8,958,641 $7,168,256 24.98%

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, Soft dollars commissions NONE $2,521 $0 $2,521
Total $2,521 $0 $2,521

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
Jh Multimanager Growth Ls John Hancock USA DFE: Pooled Separate Account $1,676,480
Money Market Fund John Hancock USA DFE: Pooled Separate Account $1,208,544
Mid Cap Index Fund John Hancock USA DFE: Pooled Separate Account $547,216
Jh Multimanager 2040 Lifetime John Hancock USA DFE: Pooled Separate Account $480,232
Jh Multimanager 2030 Lifetime John Hancock USA DFE: Pooled Separate Account $236,502
The Growth Fund of America John Hancock USA DFE: Pooled Separate Account $223,914
Jh Multimanager 2050 Lifetime John Hancock USA DFE: Pooled Separate Account $188,165
Jh Multimanager 2035 Lifetime John Hancock USA DFE: Pooled Separate Account $167,293
T. Rowe Price Sci & Tech John Hancock USA DFE: Pooled Separate Account $165,971
Jh Multimanager Conserv Ls John Hancock USA DFE: Pooled Separate Account $128,899
Vanguard Value Index Fund John Hancock USA DFE: Pooled Separate Account $127,221
Jh Multimanager 2045 Lifetime John Hancock USA DFE: Pooled Separate Account $123,991
Washington Mutual Investors John Hancock USA DFE: Pooled Separate Account $120,353
500 Index Fund John Hancock USA DFE: Pooled Separate Account $114,493
Jh Multimanager 2025 Lifetime John Hancock USA DFE: Pooled Separate Account $114,015
Jh Multimanager 2055 Lifetime John Hancock USA DFE: Pooled Separate Account $109,939
Jh Multimanager Moderate Ls John Hancock USA DFE: Pooled Separate Account $104,215
Vanguard Small Cap Grow Index John Hancock USA DFE: Pooled Separate Account $95,245
Blue Chip Growth Fund John Hancock USA DFE: Pooled Separate Account $83,422
Fidelity Contrafund John Hancock USA DFE: Pooled Separate Account $76,581
Jh Multimanager 2020 Lifetime John Hancock USA DFE: Pooled Separate Account $74,980
Natural Resources Fund John Hancock USA DFE: Pooled Separate Account $72,110
Jh Multimanager 2015 Lifetime John Hancock USA DFE: Pooled Separate Account $68,171
Vanguard Mid-Cap Value Etf John Hancock USA DFE: Pooled Separate Account $57,988
Jh Multimanager Balanced Ls John Hancock USA DFE: Pooled Separate Account $55,552
New Perspective Fund John Hancock USA DFE: Pooled Separate Account $51,854
Invesco Small Cap Growth John Hancock USA DFE: Pooled Separate Account $50,537
Templeton Word John Hancock USA DFE: Pooled Separate Account $46,476
Income Fund of America John Hancock USA DFE: Pooled Separate Account $46,397
Europacific Growth Fund John Hancock USA DFE: Pooled Separate Account $44,188
High Yield Fund John Hancock USA DFE: Pooled Separate Account $41,752
Jh Multimanager Aggressive Ls John Hancock USA DFE: Pooled Separate Account $41,446
Fidelity Advisor Total Bond John Hancock USA DFE: Pooled Separate Account $37,782
Vanguard Small Cap Value Index John Hancock USA DFE: Pooled Separate Account $34,621
Real Est Securities Fund John Hancock USA DFE: Pooled Separate Account $28,663
Jpmorgan Us Equity Fund John Hancock USA DFE: Pooled Separate Account $23,667
Vanguard Mid-Cap Growth Etf John Hancock USA DFE: Pooled Separate Account $20,993
Fidelity Adv New Insights John Hancock USA DFE: Pooled Separate Account $17,014
Fundamental Investors John Hancock USA DFE: Pooled Separate Account $14,540
Capital World Bond Fund John Hancock USA DFE: Pooled Separate Account $12,290
Investment Qual Bond Fund John Hancock USA DFE: Pooled Separate Account $12,034
T. Rowe Price Health Sci John Hancock USA DFE: Pooled Separate Account $9,412
Us Government Securities John Hancock USA DFE: Pooled Separate Account $8,943
Ft Founding Funds Allocation John Hancock USA DFE: Pooled Separate Account $8,481
American Balanced Fund John Hancock USA DFE: Pooled Separate Account $5,849
Oppenheimer Developing Mkt John Hancock USA DFE: Pooled Separate Account $4,258
T. Rowe Price Equity Inc John Hancock USA DFE: Pooled Separate Account $3,524
Tocqueville Gold Fund John Hancock USA DFE: Pooled Separate Account $3,205
Total Bond Market Fund John Hancock USA DFE: Pooled Separate Account $3,003
Parnassus Core Equity Fund John Hancock USA DFE: Pooled Separate Account $2,367
Vanguard Energy Fund John Hancock USA DFE: Pooled Separate Account $2,086
Fundamental Large Cap Value John Hancock USA DFE: Pooled Separate Account $1,764
Equity Income Funds John Hancock USA DFE: Pooled Separate Account $1,555
T. Rowe Price Sml Cap Val John Hancock USA DFE: Pooled Separate Account $1,486
New Opportunities Fund John Hancock USA DFE: Pooled Separate Account $1,456
Total Stock Market Index Fund John Hancock USA DFE: Pooled Separate Account $1,375
Franklin Mutual Beacon Fund John Hancock USA DFE: Pooled Separate Account $1,372
Vanguard Growth Index Fund John Hancock USA DFE: Pooled Separate Account $1,369
U.S. Growth John Hancock USA DFE: Pooled Separate Account $1,286
Oppenheimer Global John Hancock USA DFE: Pooled Separate Account $1,281
Small Cap Growth Fund John Hancock USA DFE: Pooled Separate Account $1,259
Global Bond Fund John Hancock USA DFE: Pooled Separate Account $1,256
Active Bond Fund John Hancock USA DFE: Pooled Separate Account $1,119
Small Cap Value Fund John Hancock USA DFE: Pooled Separate Account $736
John Hancock Intl Growth John Hancock USA DFE: Pooled Separate Account $632
Dfa Us Targeted Value Fund John Hancock USA DFE: Pooled Separate Account $623
Fidelity Adv Leveraged Co Stk John Hancock USA DFE: Pooled Separate Account $572
Jh Multimanager 2060 Lifetime John Hancock USA DFE: Pooled Separate Account $496
Clearbridge Aggressive Growth John Hancock USA DFE: Pooled Separate Account $494
Pimco Real Return John Hancock USA DFE: Pooled Separate Account $468
Dfa Emerging Markets Value John Hancock USA DFE: Pooled Separate Account $393
American Century Heritage John Hancock USA DFE: Pooled Separate Account $349
Capital World Growth & Income John Hancock USA DFE: Pooled Separate Account $348
Oppenheimer Intl Bond John Hancock USA DFE: Pooled Separate Account $336
John Hancock Disciplined Value John Hancock USA DFE: Pooled Separate Account $301
T. Rowe Price Spectrum Inc John Hancock USA DFE: Pooled Separate Account $290
U.S. High Yield Bond Fund John Hancock USA DFE: Pooled Separate Account $144
Total $7,019,634

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock Insurance Co. 204
EIN 01-0233346
Industry Code 65838
Contract Number 93111
Contract Year 10/01/2016 — 09/30/2017
Value in General Account at Year End $8,958,641
Value in Separate Accounts at Year End $0
Insurance Fees and Commissions $15,571
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 $15,571 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