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FORM 5500 DATA

National Bronze And Metals, Inc. Retirement Plan And Trust

Overview

Plan Information

  • Plan Year01/01/2018 — 12/31/2018
  • Date of Plan07/01/1993
  • Net Assets as of 12/31/2018 $9,778,628
  • 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 12/31/2018

  • Active (Eligible) Participants151
  • Retired or separated participants receiving benefits3
  • Other retired or separated participants entitled to future benefits45
  • Subtotal199
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total199
  • Total number of participants as of 01/01/2018181
  • Number of participants with account balances168
  • 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

  • AddressP.O. Box 800818
  • CityHouston
  • StateTX
  • Zip77280
  • Telephone(713) 869-9600
  • EIN76-0071408
  • Industry Code423500
  • Named AdministratorMichael J. Greathead
  • Named Plan SponsorMichael J Greathead

Audit Information

  • Audit StatusAudited
  • AuditorRobertson & Robertson PLLC
  • Auditor EIN26-1631123
  • 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.
2T Participant-directed Account Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
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.
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 $1,000,000
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 $191,991
Contributions $902,875
Cash Contributions $902,875
Cash from Employers $281,781
Cash from Participants $555,081
Others (including rollovers) $66,013
Noncash Contributions $0
Total Earnings on Investments $-710,884
Total Interest $10,429
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $10,429
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 $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 $-721,313
Other Income $0
Expenses $343,830
Total Benefit Payments $336,133
Directly to participants or beneficiaries, including direct rollovers $336,133
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $0
Certain deemed distributions of participant loans $3,098
Interest expense $0
Total Administrative Expenses $4,599
Professional Fees $0
Contract Administrator Fees $4,599
Investment Advisory and management fees $0
Other Administrative Fees $0
Net Income $-151,839
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2018 12/31/2017 Change YOY
Total Assets $9,778,628 $9,930,467 -1.53%
Total noninterest-bearing cash $0 $0 0.0%
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 $230,418 $197,037 16.94%
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 $8,895,854 $9,733,430 -8.61%
Value of funds held in insurance co. general account $0 $0 0.0%
Other Investments $652,356 $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 $9,778,628 $9,930,467 -1.53%

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
Rl 2025 John Hancock USA DFE: Pooled Separate Account $2,264,947
Rl 2020 John Hancock USA DFE: Pooled Separate Account $1,129,914
Rl 2030 John Hancock USA DFE: Pooled Separate Account $1,071,762
Ls-Aggress John Hancock USA DFE: Pooled Separate Account $961,980
Rl 2045 John Hancock USA DFE: Pooled Separate Account $698,007
Stbl Value John Hancock USA DFE: Pooled Separate Account $652,356
Rl 2040 John Hancock USA DFE: Pooled Separate Account $472,838
Rl 2050 John Hancock USA DFE: Pooled Separate Account $363,345
Vs Blucp John Hancock USA DFE: Pooled Separate Account $267,920
Ls-Growth John Hancock USA DFE: Pooled Separate Account $157,829
Ls-Balance John Hancock USA DFE: Pooled Separate Account $153,013
Contra John Hancock USA DFE: Pooled Separate Account $140,223
Rl 2035 John Hancock USA DFE: Pooled Separate Account $115,672
Health Sci John Hancock USA DFE: Pooled Separate Account $105,631
Rl 2015 John Hancock USA DFE: Pooled Separate Account $90,497
Growth John Hancock USA DFE: Pooled Separate Account $73,118
Idx 500 John Hancock USA DFE: Pooled Separate Account $60,564
Ls-Moderat John Hancock USA DFE: Pooled Separate Account $56,181
Lmc Agg Gr John Hancock USA DFE: Pooled Separate Account $49,820
Idx Total John Hancock USA DFE: Pooled Separate Account $44,724
Idx Mid John Hancock USA DFE: Pooled Separate Account $44,502
Val Indx John Hancock USA DFE: Pooled Separate Account $44,486
Jpm Mcvalu John Hancock USA DFE: Pooled Separate Account $34,074
Vs Sctec John Hancock USA DFE: Pooled Separate Account $32,407
Smcp Va In John Hancock USA DFE: Pooled Separate Account $30,008
Vs Cap App John Hancock USA DFE: Pooled Separate Account $29,477
Fid Total John Hancock USA DFE: Pooled Separate Account $28,315
Discipval John Hancock USA DFE: Pooled Separate Account $26,471
Rl 2060 John Hancock USA DFE: Pooled Separate Account $24,166
Grth Indx John Hancock USA DFE: Pooled Separate Account $23,853
Vs Utilit John Hancock USA DFE: Pooled Separate Account $23,074
Royce Penn John Hancock USA DFE: Pooled Separate Account $22,233
Idx Small John Hancock USA DFE: Pooled Separate Account $20,336
Sci Tech John Hancock USA DFE: Pooled Separate Account $19,676
Ft Gl Bond John Hancock USA DFE: Pooled Separate Account $19,239
Global Bd John Hancock USA DFE: Pooled Separate Account $18,271
Tocq Gold John Hancock USA DFE: Pooled Separate Account $15,935
Fed Hiyld John Hancock USA DFE: Pooled Separate Account $12,599
Rl 2055 John Hancock USA DFE: Pooled Separate Account $12,139
Fidlevco John Hancock USA DFE: Pooled Separate Account $11,890
Mc Vl Etf John Hancock USA DFE: Pooled Separate Account $10,391
Fund Lcv John Hancock USA DFE: Pooled Separate Account $10,083
All Asset John Hancock USA DFE: Pooled Separate Account $7,477
Sm-Md Grth John Hancock USA DFE: Pooled Separate Account $7,305
Energy John Hancock USA DFE: Pooled Separate Account $7,006
Ls-Conserv John Hancock USA DFE: Pooled Separate Account $6,517
Af Cap Wgi John Hancock USA DFE: Pooled Separate Account $6,012
Dc Stock John Hancock USA DFE: Pooled Separate Account $5,907
Massinvest John Hancock USA DFE: Pooled Separate Account $5,667
Jpm Use John Hancock USA DFE: Pooled Separate Account $5,665
Real Rtrn John Hancock USA DFE: Pooled Separate Account $4,488
Intl Grw John Hancock USA DFE: Pooled Separate Account $4,426
Emerg Mk John Hancock USA DFE: Pooled Separate Account $4,105
Af Fun Inv John Hancock USA DFE: Pooled Separate Account $4,087
Develp Mkt John Hancock USA DFE: Pooled Separate Account $4,057
Sc World John Hancock USA DFE: Pooled Separate Account $3,038
Vs It Vl John Hancock USA DFE: Pooled Separate Account $3,035
Cap Appre John Hancock USA DFE: Pooled Separate Account $3,018
Intl Val John Hancock USA DFE: Pooled Separate Account $2,947
Opintgrw John Hancock USA DFE: Pooled Separate Account $2,900
Af Am Bal John Hancock USA DFE: Pooled Separate Account $2,743
Smcp Va In John Hancock USA DFE: Pooled Separate Account $2,720
Rl 2010 John Hancock USA DFE: Pooled Separate Account $1,714
Astmidcap John Hancock USA DFE: Pooled Separate Account $1,286
Inc Fund John Hancock USA DFE: Pooled Separate Account $1,175
World John Hancock USA DFE: Pooled Separate Account $1,094
Inv Co Am John Hancock USA DFE: Pooled Separate Account $983
Explorer John Hancock USA DFE: Pooled Separate Account $981
Brbasicval John Hancock USA DFE: Pooled Separate Account $970
Discovery John Hancock USA DFE: Pooled Separate Account $940
Small Val John Hancock USA DFE: Pooled Separate Account $926
Dfa Tava John Hancock USA DFE: Pooled Separate Account $892
Opportunty John Hancock USA DFE: Pooled Separate Account $162
Total $9,548,209

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock Life Insurance Company(U.S.A.) 181
EIN 01-0233346
Industry Code 65838
Contract Number 101934
Contract Year 01/01/2018 — 12/31/2018
Value in General Account at Year End $0
Value in Separate Accounts at Year End $0
Insurance Fees and Commissions $34,101
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Kestra Investment Services LLC 24 Greenway Plaza Houston, TX 77046 Insurance Agent or Broker $25,657 $0
Pension Benefit Adminstrators 5300 Hollister Houston, TX 77040 Third Party Administrator $8,444 $0
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