Back to top
FORM 5500 DATA

SLR International Corporation 401k Savings Plan

Overview

Plan Information

  • Plan Year11/01/2017 — 10/31/2018
  • Date of Plan01/01/1997
  • Net Assets as of 10/31/2018 $28,046,255
  • Plan Number2
  • 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 10/31/2018

  • Active (Eligible) Participants210
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits49
  • Subtotal259
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total259
  • Total number of participants as of 11/01/2017253
  • Number of participants with account balances256
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested7

Expenses

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

Sponsor Information

  • Address22118 20th Avenue SE, Ste G202
  • CityBothell
  • StateWA
  • Zip98021
  • Telephone(425) 402-8800
  • EIN91-2059735
  • Industry Code541600
  • Named AdministratorAndrew Dimitriou

Audit Information

  • Audit StatusAudited
  • AuditorMoss Adams, LLP
  • Auditor EIN91-0189318
  • 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.
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.
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? Yes
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? Yes

Financials

Income and Expense Statement

Income $2,982,104
Contributions $2,723,116
Cash Contributions $2,723,116
Cash from Employers $761,366
Cash from Participants $1,884,472
Others (including rollovers) $77,278
Noncash Contributions $0
Total Earnings on Investments $213,133
Total Interest $14,558
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $14,558
Interest from Other Investments $0
Total Dividends $12,366
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 $186,209
Other Income $45,855
Expenses $2,560,924
Total Benefit Payments $2,427,544
Directly to participants or beneficiaries, including direct rollovers $2,427,544
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 $133,380
Professional Fees $99,165
Contract Administrator Fees $0
Investment Advisory and management fees $34,147
Other Administrative Fees $68
Net Income $421,180
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

10/31/2018 10/31/2017 Change YOY
Total Assets $28,046,255 $27,625,075 1.52%
Total noninterest-bearing cash $14,335 $19,552 -26.68%
Receivables $717,610 $711,728 0.83%
Employer Contributions $717,610 $711,728 0.83%
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 $210,455 $339,511 -38.01%
Value of interest in common/collective trusts $2,059,664 $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 $25,044,191 $26,554,284 -5.69%
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 $28,046,255 $27,625,075 1.52%

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
Rbc Capital Markets Corp. Investment advisory (participants) Investment Manager $34,147 $0 $34,147
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, Other insurance wrap fees, Soft dollars commissions Recordkeeper $1,209 $0 $1,209
Total $35,356 $0 $35,356

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
Reliance Trust Company Stable Value Reliance Trust Company Stable Value Fund -Metlife Series 25157 0 DFE: Common/Collective Trust $2,059,664
Jh Multimanager 2055 Lifetime John Hancock USA DFE: Pooled Separate Account $0
Jh Multimanager 2050 Lifetime John Hancock USA DFE: Pooled Separate Account $0
Jh Multimanager 2045 Lifetime John Hancock USA DFE: Pooled Separate Account $0
Jh Multimanager 2040 Lifetime John Hancock USA DFE: Pooled Separate Account $0
Jh Multimanager 2035 Lifetime John Hancock USA DFE: Pooled Separate Account $0
Jh Multimanager 2030 Lifetime John Hancock USA DFE: Pooled Separate Account $0
Jh Multimanager 2025 Lifetime John Hancock USA DFE: Pooled Separate Account $0
Jh Multimanager 2020 Lifetime John Hancock USA DFE: Pooled Separate Account $0
Jh Multi-Index 2060 Preserv John Hancock USA DFE: Pooled Separate Account $0
Jh Multi-Index 2055 Preserv John Hancock USA DFE: Pooled Separate Account $0
Jh Multi-Index 2050 Preserv John Hancock USA DFE: Pooled Separate Account $0
Jh Multi-Index 2045 Preserv John Hancock USA DFE: Pooled Separate Account $0
Jh Multi-Index 2040 Preserv John Hancock USA DFE: Pooled Separate Account $0
Jh Multi-Index 2035 Preserv John Hancock USA DFE: Pooled Separate Account $0
Jh Multi-Index 2030 Preserv John Hancock USA DFE: Pooled Separate Account $0
Jh Multi-Index 2025 Preserv John Hancock USA DFE: Pooled Separate Account $0
Jh Multi-Index 2020 Preserv John Hancock USA DFE: Pooled Separate Account $0
Jh Multi-Index Income Preserv John Hancock USA DFE: Pooled Separate Account $0
Jh Multimanager Aggressive Ls John Hancock USA DFE: Pooled Separate Account $0
Jh Multimanager Growth Ls John Hancock USA DFE: Pooled Separate Account $0
Jh Multimanager Balanced Ls John Hancock USA DFE: Pooled Separate Account $0
Jh Multimanager Moderate Ls John Hancock USA DFE: Pooled Separate Account $0
Jh Multimanager Conserv Ls John Hancock USA DFE: Pooled Separate Account $0
Amg Managers Fairpointe Midcap John Hancock USA DFE: Pooled Separate Account $0
Dfa Emerging Markets Value John Hancock USA DFE: Pooled Separate Account $0
Dfa International Value John Hancock USA DFE: Pooled Separate Account $0
Dfa Us Targeted Value Fund John Hancock USA DFE: Pooled Separate Account $0
Dfa U.S. Small Cap Fund John Hancock USA DFE: Pooled Separate Account $0
Dodge & Cox International St John Hancock USA DFE: Pooled Separate Account $0
Europacific Growth Fund John Hancock USA DFE: Pooled Separate Account $0
Fidelity Adv Leveraged Co Stk John Hancock USA DFE: Pooled Separate Account $0
Financial Industries Fund John Hancock USA DFE: Pooled Separate Account $0
Franklin Small-Mid Growth John Hancock USA DFE: Pooled Separate Account $0
Intl Equity Index Fund John Hancock USA DFE: Pooled Separate Account $0
Intl Small Cap Fund John Hancock USA DFE: Pooled Separate Account $0
International Value Fund John Hancock USA DFE: Pooled Separate Account $0
Invesco Small Cap Growth John Hancock USA DFE: Pooled Separate Account $0
Jh Disciplined Value Intl Fund John Hancock USA DFE: Pooled Separate Account $0
John Hancock Intl Growth John Hancock USA DFE: Pooled Separate Account $0
Jpmorgan Midcap Value Fund John Hancock USA DFE: Pooled Separate Account $0
Mid Cap Index Fund 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
Natural Resources Fund John Hancock USA DFE: Pooled Separate Account $0
New World Fund John Hancock USA DFE: Pooled Separate Account $0
Oppenheimer Developing Mkt John Hancock USA DFE: Pooled Separate Account $0
Oppenheimer Intl Growth Fund John Hancock USA DFE: Pooled Separate Account $0
Pimco Commodity Real Return John Hancock USA DFE: Pooled Separate Account $0
Pru Jennison Mid Growth Fund John Hancock USA DFE: Pooled Separate Account $0
Real Est. Securities Fund John Hancock USA DFE: Pooled Separate Account $0
Royce Opportunity John Hancock USA DFE: Pooled Separate Account $0
Royce Pennsylvania Mutual Fund John Hancock USA DFE: Pooled Separate Account $0
Science & Technology Fund John Hancock USA DFE: Pooled Separate Account $0
Small Cap Growth Fund John Hancock USA DFE: Pooled Separate Account $0
Small Cap Index Fund John Hancock USA DFE: Pooled Separate Account $0
Small Cap Value Fund John Hancock USA DFE: Pooled Separate Account $0
Smallcap World Fund John Hancock USA DFE: Pooled Separate Account $0
T. Rowe Price Sci & Tech John Hancock USA DFE: Pooled Separate Account $0
T. Rowe Price Sml Cap Val John Hancock USA DFE: Pooled Separate Account $0
Tocqueville Gold Fund John Hancock USA DFE: Pooled Separate Account $0
Vanguard Energy Fund John Hancock USA DFE: Pooled Separate Account $0
Vanguard Explorer Fund John Hancock USA DFE: Pooled Separate Account $0
Vanguard Mid-Cap Growth Etf John Hancock USA DFE: Pooled Separate Account $0
Vanguard Mid-Cap Value Etf John Hancock USA DFE: Pooled Separate Account $0
Vanguard Small Cap Grow Index John Hancock USA DFE: Pooled Separate Account $0
Vanguard Small Cap Value Index John Hancock USA DFE: Pooled Separate Account $0
500 Index Fund John Hancock USA DFE: Pooled Separate Account $0
Blackrock Basic Value John Hancock USA DFE: Pooled Separate Account $0
Blackrock Global Allocation John Hancock USA DFE: Pooled Separate Account $0
Blue Chip Growth Fund John Hancock USA DFE: Pooled Separate Account $0
Capital Appreciation Fund John Hancock USA DFE: Pooled Separate Account $0
Capital Income Builder John Hancock USA DFE: Pooled Separate Account $0
Capital World Growth & Income John Hancock USA DFE: Pooled Separate Account $0
Clearbridge Aggressive Growth John Hancock USA DFE: Pooled Separate Account $0
Dodge & Cox Stock Fund John Hancock USA DFE: Pooled Separate Account $0
Domini Impact Equity Fund John Hancock USA DFE: Pooled Separate Account $0
Equity Income Fund John Hancock USA DFE: Pooled Separate Account $0
Fidelity Adv New Insights John Hancock USA DFE: Pooled Separate Account $0
Fidelity Contrafund John Hancock USA DFE: Pooled Separate Account $0
Franklin Mutual Beacon Fund John Hancock USA DFE: Pooled Separate Account $0
Fundamental All Cap Core Fund John Hancock USA DFE: Pooled Separate Account $0
Fundamental Investors John Hancock USA DFE: Pooled Separate Account $0
Fundamental Large Cap Value John Hancock USA DFE: Pooled Separate Account $0
Ivy Asset Strategy Fund John Hancock USA DFE: Pooled Separate Account $0
John Hancock Disciplined Value John Hancock USA DFE: Pooled Separate Account $0
Massachusetts Investors Fund John Hancock USA DFE: Pooled Separate Account $0
New Perspective Fund John Hancock USA DFE: Pooled Separate Account $0
Oppenheimer Global John Hancock USA DFE: Pooled Separate Account $0
Parnassus Core Equity 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 Health Sci John Hancock USA DFE: Pooled Separate Account $0
Templeton World John Hancock USA DFE: Pooled Separate Account $0
The Growth Fund of America John Hancock USA DFE: Pooled Separate Account $0
Income Fund of America John Hancock USA DFE: Pooled Separate Account $0
Investment Company of America John Hancock USA DFE: Pooled Separate Account $0
Total Stock Market Index Fund John Hancock USA DFE: Pooled Separate Account $0
U.S. Growth Fund John Hancock USA DFE: Pooled Separate Account $0
Utilities Fund John Hancock USA DFE: Pooled Separate Account $0
Vanguard Growth Index Fund John Hancock USA DFE: Pooled Separate Account $0
Vanguard Value Index Fund John Hancock USA DFE: Pooled Separate Account $0
Victory Diversified Stock John Hancock USA DFE: Pooled Separate Account $0
Washington Mutual Investors John Hancock USA DFE: Pooled Separate Account $0
American Balanced Fund John Hancock USA DFE: Pooled Separate Account $0
Federated High Yield Bond John Hancock USA DFE: Pooled Separate Account $0
Global Bond Fund John Hancock USA DFE: Pooled Separate Account $0
High Yield Fund John Hancock USA DFE: Pooled Separate Account $0
Oppenheimer Intl Bond John Hancock USA DFE: Pooled Separate Account $0
Pax World Balanced Fund John Hancock USA DFE: Pooled Separate Account $0
Pimco All Asset John Hancock USA DFE: Pooled Separate Account $0
Pimco Global Bond John Hancock USA DFE: Pooled Separate Account $0
Strategic Income Opp Fund John Hancock USA DFE: Pooled Separate Account $0
T. Rowe Price Cap Appreciation John Hancock USA DFE: Pooled Separate Account $0
T. Rowe Price Spectrum Inc John Hancock USA DFE: Pooled Separate Account $0
Templeton Global Bond Fund John Hancock USA DFE: Pooled Separate Account $0
U.S. High Yield Bond Fund John Hancock USA DFE: Pooled Separate Account $0
Dfa Inflation-Protected Sec John Hancock USA DFE: Pooled Separate Account $0
Fidelity Advisor Total Bond John Hancock USA DFE: Pooled Separate Account $0
Total $2,059,664

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
John Hancock Life Insurance Company (USA) 0
EIN 01-0233346
Industry Code 65838
Contract Number 102762
Contract Year 11/01/2017 — 10/31/2018
Value in General Account at Year End $0
Value in Separate Accounts at Year End $0
Insurance Fees and Commissions $31,782
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Moss Adams LLP 999 Third Avenue, Suite 2800 Seattle, WA 98104 Other $0 $18,097 AUDIT FEES
Kms Financial Services, Inc. 2001 6th Ave #2801 Seattle, WA 98104 Agent or Broker other than Insurance $0 $13,617 BROKER COMMISSION
T Rowe Price Assocaties, Inc. Agent or Broker other than Insurance $0 $65 REDEMPTION FEE
Federated Investment Management Co. Agent or Broker other than Insurance $0 $3 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 INTEREST ACCOUNTS
Balance at the end of the previous year $0
Additions $2,832
Contributions Deposited during the year $2,821
Dividends and credits $0
Interest credited during the year $10
Transferred from separate account $0
Other $1
Total of Balance and Additions $2,832
Deductions $2,832
Disbursed from fund to pay benefits or purchase annuities during the year $2,801
Administration charge made by carrier $1
Transferred to Separate Account $0
Other $30
Balance at the end of the current year $0