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Overview

Plan Information

  • Plan Year01/01/2008 — 12/31/2008
  • Date of Plan01/01/1997
  • Net Assets as of 12/31/2008 $893,702
  • 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 Arrangement Trust

Participant Information as of 12/31/2008

  • Active (Eligible) Participants53
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits12
  • Subtotal65
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total65
  • Total number of participants as of 01/01/200858
  • Number of participants with account balances47
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2
  • Number of participants required to be reported on Schedule SSA6

Expenses

  • Total Benefit Payments$0
  • Corrective Distributions$0
  • Administrative Service Providers$0
  • Other Expenses$0
  • Total Expenses$0
  • Total Transfers$0

Sponsor Information

  • AddressPo Box 429
  • CityRichmond
  • StateTX
  • Zip77406-0011
  • Telephone(281) 342-3350
  • EIN76-0200462
  • Industry Code621399

Plan Administrator Information

  • Administrator NameSAME
  • Administrator EIN

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.

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 $100,000
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 at any time hold 20% or more of its assets in any single security, debt, mortgage, parcel of real estate, or partnership/joint venture interest? No $0
Are you claiming a waiver of the annual examination and report of an independent qualified public accountant (IQPA) under 29 CFR 2520.104-46? Yes
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No

Financials

Income and Expense Statement

Income $60,693
Contributions $0
Cash Contributions $173,947
Cash from Employers $65,469
Cash from Participants $108,478
Others (including rollovers) $0
Noncash Contributions $0
Other Income $-113,254
Expenses $185,833
Total Benefit Payments $175,600
Corrective Distributions $0
Certain deemed distributions of participant loans $0
Other Expenses $10,233
Net Income $-125,140
Transfers of Assets to (from) this Plan $0

Asset and Liability Statement

12/31/2008 12/31/2007 Change YOY
Total Assets $893,702 $1,018,842 -12.28%
Total Liabilities $0 $0 0.0%
Net Assets $893,702 $1,018,842 -12.28%

Specific Assets Statement

Held? Amount
Total Specific Assets No $21,453
Partnership/joint venture interests Yes $0
Employer Real Property Yes $0
Real Estate Yes $0
Employer Securities Yes $0
Participant Loans No $21,453
Loans (other than to participants) Yes $0
Tangible Personal Property Yes $0

Service Providers

Service Providers

There are no service providers listed for this plan.

Investments

Investments

Name of Investment Investment Manager Type of Investment Dollar Value
American Balanced Fund John Hancock USA DFE: Pooled Separate Account $0
Lifestyle Conservative John Hancock USA DFE: Pooled Separate Account $0
Lifestyle Growth John Hancock USA DFE: Pooled Separate Account $0
Lifestyle Moderate John Hancock USA DFE: Pooled Separate Account $0
Lm Partners Glb High Yield John Hancock USA DFE: Pooled Separate Account $0
Mfs Utilities John Hancock USA DFE: Pooled Separate Account $0
Mid Cap Stock Fund John Hancock USA DFE: Pooled Separate Account $0
Mid Value Fund John Hancock USA DFE: Pooled Separate Account $0
Mutual Beacon John Hancock USA DFE: Pooled Separate Account $0
Mutual Discovery John Hancock USA DFE: Pooled Separate Account $0
Oppenheimer Developing Mkt John Hancock USA DFE: Pooled Separate Account $0
Oppenheimer Global John Hancock USA DFE: Pooled Separate Account $0
Pimco Total Return John Hancock USA DFE: Pooled Separate Account $0
Small Cap Opportunities Fund John Hancock USA DFE: Pooled Separate Account $0
T. Rowe Price Equity Inc John Hancock USA DFE: Pooled Separate Account $0
T. Rowe Price Sci & Tech John Hancock USA DFE: Pooled Separate Account $0
The Growth Fund of America John Hancock USA DFE: Pooled Separate Account $0
Ubs Global Allocation John Hancock USA DFE: Pooled Separate Account $0
Lifestyle Balanced John Hancock USA DFE: Pooled Separate Account $0
Lifestyle Aggressive John Hancock USA DFE: Pooled Separate Account $0
American Century Small Co John Hancock USA DFE: Pooled Separate Account $0
American Century Vista John Hancock USA DFE: Pooled Separate Account $0
Columbia Marsico Intl Opps John Hancock USA DFE: Pooled Separate Account $0
Columbia Value & Restructuring John Hancock USA DFE: Pooled Separate Account $0
Davis Financial John Hancock USA DFE: Pooled Separate Account $0
Dws Rreef Real Estate John Hancock USA DFE: Pooled Separate Account $0
Energy John Hancock USA DFE: Pooled Separate Account $0
Europacific Growth Fund John Hancock USA DFE: Pooled Separate Account $0
Franklin Small-Mid Growth John Hancock USA DFE: Pooled Separate Account $0
Jh Munder Small-Cap Value John Hancock USA DFE: Pooled Separate Account $0
Jh T. Rowe Price Mid-Cap Val John Hancock USA DFE: Pooled Separate Account $0
Jh Weitz Partners Value John Hancock USA DFE: Pooled Separate Account $0
John Hancock Classic Value John Hancock USA DFE: Pooled Separate Account $0
John Hancock Stable Val John Hancock USA DFE: Pooled Separate Account $0
Jpm Midcap Value Fund John Hancock USA DFE: Pooled Separate Account $0
Lifecycle 2010 John Hancock USA DFE: Pooled Separate Account $0
Lifecycle 2030 John Hancock USA DFE: Pooled Separate Account $0
Washington Mutual Investors John Hancock USA DFE: Pooled Separate Account $0
Total $0

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock Life Insurance Company (USA) 0
EIN 01-0233346
Industry Code 65838
Contract Number 36761
Contract Year 01/01/2008 — 12/31/2008
Value in General Account at Year End $0
Value in Separate Accounts at Year End $0
Insurance Fees and Commissions $5,992
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Amegy Investments, Inc. Insurance Agent or Broker $4,913 $0
Nova 401K Associates 10777 Northwest Freeway 440 Houston, TX 77092 Third Party Administrator $0 $1,066 TPA
Vanguard Group, Inc Investment Company/Mutual Fund $0 $13 REDEMPTION 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 Guaranteed Investment
Balance at the end of the previous year $0
Additions $36
Contributions Deposited during the year $36
Dividends and credits $0
Interest credited during the year $0
Transferred from separate account $0
Other $0
Total of Balance and Additions $36
Deductions $36
Disbursed from fund to pay benefits or purchase annuities during the year $36
Administration charge made by carrier $0
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $0