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FORM 5500 DATA

Rockwell Management Corp. 401k Plan

Overview

Plan Information

  • Plan Year01/01/2017 — 12/31/2017
  • Date of Plan01/01/1995
  • Net Assets as of 12/31/2017 $2,579,181
  • 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 12/31/2017

  • Active (Eligible) Participants168
  • Retired or separated participants receiving benefits5
  • Other retired or separated participants entitled to future benefits46
  • Subtotal219
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total219
  • Total number of participants as of 01/01/2017206
  • Number of participants with account balances100
  • 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

  • Address10101 Fondren Rd., Ste 460
  • CityHouston
  • StateTX
  • Zip77096
  • Telephone(713) 630-8361
  • EIN76-0449858
  • Industry Code531110

Audit Information

  • Audit StatusAudited
  • AuditorPatrick C. Shields
  • Auditor EIN76-0235871
  • 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.
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 $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 $485,301
Contributions $201,591
Cash Contributions $201,591
Cash from Employers $19,352
Cash from Participants $182,239
Others (including rollovers) $0
Noncash Contributions $0
Total Earnings on Investments $283,710
Total Interest $6,655
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $6,655
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 $277,055
Other Income $0
Expenses $234,676
Total Benefit Payments $229,139
Directly to participants or beneficiaries, including direct rollovers $229,139
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 $5,537
Professional Fees $0
Contract Administrator Fees $5,537
Investment Advisory and management fees $0
Other Administrative Fees $0
Net Income $250,625
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2017 12/31/2016 Change YOY
Total Assets $2,579,181 $2,328,556 10.76%
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 $155,340 $137,497 12.98%
Value of interest in common/collective trusts $0 $0 0.0%
Value of interest in pooled separate accounts $2,423,841 $2,158,163 12.31%
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 $0 $0 0.0%
Value of funds held in insurance co. general account $0 $32,896 -100.00%
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 $2,579,181 $2,328,556 10.76%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

  • John Hancock

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 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 $1,341 $0 $1,341
Total $1,341 $0 $1,341

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 Balanced Ls John Hancock Life Insurance Company DFE: Pooled Separate Account $343,261
Money Market Fund John Hancock Life Insurance Company DFE: Pooled Separate Account $227,601
Jh Multimanager 2010 Lifetime John Hancock Life Insurance Company DFE: Pooled Separate Account $222,001
Capital Income Builder John Hancock Life Insurance Company DFE: Pooled Separate Account $205,368
Jh Multimanager 2020 Lifetime John Hancock Life Insurance Company DFE: Pooled Separate Account $200,403
Jh Multimanager Moderate Ls John Hancock Life Insurance Company DFE: Pooled Separate Account $135,630
Jh Multimanager Conserv Ls John Hancock Life Insurance Company DFE: Pooled Separate Account $122,268
Jh Multimanager 2035 Lifetime John Hancock Life Insurance Company DFE: Pooled Separate Account $117,964
Jh Multimanager 2030 Lifetime John Hancock Life Insurance Company DFE: Pooled Separate Account $108,247
The Growth Fund of America John Hancock Life Insurance Company DFE: Pooled Separate Account $98,244
Jh Multimanager Growth Ls John Hancock Life Insurance Company DFE: Pooled Separate Account $94,958
Jh Multimanager Aggressive Ls John Hancock Life Insurance Company DFE: Pooled Separate Account $69,712
Jh Multimanager 2040 Lifetime John Hancock Life Insurance Company DFE: Pooled Separate Account $68,029
Jh Multimanager 2025 Lifetime John Hancock Life Insurance Company DFE: Pooled Separate Account $59,654
Jh Multimanager 2045 Lifetime John Hancock Life Insurance Company DFE: Pooled Separate Account $57,855
Oppenheimer Developing Mkt John Hancock Life Insurace Company DFE: Pooled Separate Account $34,033
T. Rowe Price Equity Inc John Hancock Life Insurance Company DFE: Pooled Separate Account $29,174
Tocqueville Gold Fund John Hancock Life Insurace Company DFE: Pooled Separate Account $26,370
Vanguard Growth Index Fund John Hancock Life Insurance Company DFE: Pooled Separate Account $23,971
Dfa Emerging Markets Value John Hancock Life Insurance Company DFE: Pooled Separate Account $23,836
High Yield Fund John Hancock Life Insurance Company DFE: Pooled Separate Account $22,753
Fundamental Investors John Hancock Life Insurace Company DFE: Pooled Separate Account $22,568
Mid Value Fund John Hancock Life Insurace Company DFE: Pooled Separate Account $16,377
Fidelity Adv Leveraged Co Stk John Hancock Life Insurace Company DFE: Pooled Separate Account $15,363
Oppenheimer Intl Growth Fund John Hancock Life Insurace Company DFE: Pooled Separate Account $12,342
Jh Multimanager 2050 Lifetime John Hancock Life Insurance Company DFE: Pooled Separate Account $11,241
Vanguard Energy Fund John Hancock Life Insurace Company DFE: Pooled Separate Account $10,646
Jh Multimanager 2015 Lifetime John Hancock Life Insurance Company DFE: Pooled Separate Account $8,624
Natural Resources Fund John Hancock Life Insurance Company DFE: Pooled Separate Account $8,097
Small Cap Value Fund John Hancock Life Insurace Company DFE: Pooled Separate Account $6,799
Real Est. Securities Fund John Hancock Life Insurace Company DFE: Pooled Separate Account $6,307
Vanguard Small Cap Grow Index John Hancock Life Insurance Company DFE: Pooled Separate Account $4,729
Jh Multimanager 2055 Lifetime John Hancock Life Insurance Company DFE: Pooled Separate Account $3,465
Fidelity Advisor Total Bond John Hancock Life Insurance Company DFE: Pooled Separate Account $3,107
Vanguard Mid-Cap Growth Etf John Hancock Life Insurance Company DFE: Pooled Separate Account $2,844
Total $2,423,841

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock Life Insurance Company 119
EIN 01-0233346
Industry Code 65838
Contract Number 96998
Contract Year 01/01/2017 — 12/31/2017
Value in General Account at Year End $0
Value in Separate Accounts at Year End $2,423,841
Insurance Fees and Commissions $12,010
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Lpl Financial Corporation One Beacon Street Boston, MA 02108 Agent or Broker other than Insurance $9,105 $0
Loren D. Stark Company 10750 Rockley Road Houston, TX 77099 Third Party Administrator $0 $2,905 ADMINISTRATION 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