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FORM 5500 DATA

AMI Mechanical, Inc. 401k Savings Plan

Overview

Plan Information

  • Plan Year07/01/2018 — 06/30/2019
  • Date of Plan07/01/1991
  • Net Assets as of 06/30/2019 $4,920,114
  • 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 06/30/2019

  • Active (Eligible) Participants175
  • Retired or separated participants receiving benefits1
  • Other retired or separated participants entitled to future benefits38
  • Subtotal214
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total214
  • Total number of participants as of 07/01/2018210
  • Number of participants with account balances116
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested6

Expenses

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

Sponsor Information

  • Address12141 Pennsylvania Street
  • CityThornton
  • StateCO
  • Zip80241-3115
  • Telephone(303) 280-1401
  • EIN84-1175112
  • Industry Code238220
  • Named AdministratorManuel Gonzales

Audit Information

  • Audit StatusAudited
  • AuditorHanson & Co CPA
  • Auditor EIN84-1046243
  • 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.

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 $725,103
Contributions $505,817
Cash Contributions $505,817
Cash from Employers $50,095
Cash from Participants $359,919
Others (including rollovers) $95,803
Noncash Contributions $0
Total Earnings on Investments $219,286
Total Interest $8,104
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $8,101
Interest from Other Investments $3
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 $211,182
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 $321,290
Total Benefit Payments $317,576
Directly to participants or beneficiaries, including direct rollovers $317,576
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 $3,714
Professional Fees $3,714
Contract Administrator Fees $0
Investment Advisory and management fees $0
Other Administrative Fees $0
Net Income $403,813
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

06/30/2019 06/30/2018 Change YOY
Total Assets $4,920,114 $4,516,301 8.94%
Total noninterest-bearing cash $776 $933 -16.83%
Receivables $50,095 $52,329 -4.27%
Employer Contributions $50,095 $52,329 -4.27%
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 $152,166 $150,209 1.30%
Value of interest in common/collective trusts $0 $0 0.0%
Value of interest in pooled separate accounts $4,716,319 $4,312,075 9.37%
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 $758 $755 0.40%
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 $4,920,114 $4,516,301 8.94%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

There is no information on eligible indirect compensation for this plan.

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 USA 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 Recordkeeper $604 $0 $604
Total $604 $0 $604

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 USA DFE: Pooled Separate Account $1,239,698
Jh Multimanager Growth Ls John Hancock USA DFE: Pooled Separate Account $1,112,588
Jh Multimanager Aggressive Ls John Hancock USA DFE: Pooled Separate Account $250,952
Jh Multimanager Conserv Ls John Hancock USA DFE: Pooled Separate Account $246,840
Jh Multimanager Moderate Ls John Hancock USA DFE: Pooled Separate Account $162,911
Blue Chip Growth Fund John Hancock USA DFE: Pooled Separate Account $146,831
500 Index Fund John Hancock USA DFE: Pooled Separate Account $101,609
Fundamental Investors John Hancock USA DFE: Pooled Separate Account $79,689
Fidelity Real Estate Index John Hancock USA DFE: Pooled Separate Account $78,005
Mid Cap Stock Fund John Hancock USA DFE: Pooled Separate Account $54,346
The Growth Fund of America John Hancock USA DFE: Pooled Separate Account $43,335
Europacific Growth Fund John Hancock USA DFE: Pooled Separate Account $41,045
Fidelity Advisor Total Bond John Hancock USA DFE: Pooled Separate Account $37,297
Money Market Fund John Hancock USA DFE: Pooled Separate Account $33,553
Vanguard Target Ret 2045 John Hancock USA DFE: Pooled Separate Account $30,501
John Hancock Bond Fund John Hancock USA DFE: Pooled Separate Account $28,592
Investment Company of America John Hancock USA DFE: Pooled Separate Account $26,611
Capital Appreciation Fund John Hancock USA DFE: Pooled Separate Account $22,804
Vanguard Short-Term Federal John Hancock USA DFE: Pooled Separate Account $21,714
Equity Income Fund John Hancock USA DFE: Pooled Separate Account $18,759
Equity Income Fund John Hancock USA DFE: Pooled Separate Account $18,759
Small Cap Value Fund John Hancock USA DFE: Pooled Separate Account $18,439
Total Stock Market Index Fund John Hancock USA DFE: Pooled Separate Account $16,685
Washington Mutual Investors John Hancock USA DFE: Pooled Separate Account $15,016
Templeton World John Hancock USA DFE: Pooled Separate Account $13,533
Mid Cap Index Fund John Hancock USA DFE: Pooled Separate Account $13,476
Blackrock Global Allocation John Hancock USA DFE: Pooled Separate Account $12,724
U.S. Growth Fund John Hancock USA DFE: Pooled Separate Account $7,821
American Century Heritage John Hancock USA DFE: Pooled Separate Account $6,189
Vanguard Target Ret 2030 John Hancock USA DFE: Pooled Separate Account $5,741
Small Cap Stock Fund John Hancock USA DFE: Pooled Separate Account $4,044
Jh Disciplined Value Intl Fund John Hancock USA DFE: Pooled Separate Account $3,925
American Balanced Fund John Hancock USA DFE: Pooled Separate Account $3,144
Vanguard Target Ret 2040 John Hancock USA DFE: Pooled Separate Account $3,052
Vanguard Target Ret 2035 John Hancock USA DFE: Pooled Separate Account $2,888
Small Company Value Fund John Hancock USA DFE: Pooled Separate Account $2,777
Dfa Us Targeted Value Fund John Hancock USA DFE: Pooled Separate Account $2,370
Vanguard Target Ret 2025 John Hancock USA DFE: Pooled Separate Account $2,271
Invesco Small Cap Growth John Hancock USA DFE: Pooled Separate Account $2,107
Vanguard Target Ret 2060 John Hancock USA DFE: Pooled Separate Account $2,004
Mid Value Fund John Hancock USA DFE: Pooled Separate Account $1,224
Core Bond Fund John Hancock USA DFE: Pooled Separate Account $625
Vanguard Target Ret 2050 John Hancock USA DFE: Pooled Separate Account $414
Jpmorgan Us Equity Fund John Hancock USA DFE: Pooled Separate Account $172
Vanguard Target Ret 2055 John Hancock USA DFE: Pooled Separate Account $160
Small Cap Index Fund John Hancock USA DFE: Pooled Separate Account $11
Small Cap Growth Fund John Hancock USA DFE: Pooled Separate Account $0
Science & Technology Fund John Hancock USA DFE: Pooled Separate Account $0
10-Year Compound John Hancock USA DFE: Pooled Separate Account $0
Global Bond Fund John Hancock USA DFE: Pooled Separate Account $0
Real Return Bond Fund John Hancock USA DFE: Pooled Separate Account $0
Real Est. Securities Fund John Hancock USA DFE: Pooled Separate Account $0
Value Fund John Hancock USA DFE: Pooled Separate Account $0
International Value Fund John Hancock USA DFE: Pooled Separate Account $0
John Hancock Bond Fund John Hancock USA DFE: Pooled Separate Account $0
Total $3,937,251

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock USA 130
EIN 01-0233346
Industry Code 65838
Contract Number 82938
Contract Year 07/01/2018 — 06/30/2019
Value in General Account at Year End $758
Value in Separate Accounts at Year End $4,716,319
Insurance Fees and Commissions $15,366
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Raymond James Insurance Group, Inc. Insurance Agent or Broker $10,018 $0 SERVICES
Qualified Pension Services, Inc. 7851 S. Elati St, Suite 205 Littleton, CO 80120 Third Party Administrator $0 $5,348 THIRD PARTY ADMINISTRATION
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 GROUP ANNUITY CONTRACT
Balance at the end of the previous year $754
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 $754
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 $754