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Zenoss, Inc

Plan Rating
OverviewFinancialsService ProvidersInvestmentsInsurance Information
FORM 5500 DATA

Zenoss 401k Plan

Form 5500 Year:

Plan Rating
OverviewFinancialsService ProvidersInvestmentsInsurance Information

Overview

Plan Information

  • Plan Year01/01/2018 — 12/31/2018
  • Date of Plan07/01/2007
  • Net Assets as of 12/31/2018 $8,341,776
  • 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 benefits0
  • Other retired or separated participants entitled to future benefits41
  • Subtotal192
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total192
  • Total number of participants as of 01/01/2018222
  • Number of participants with account balances150
  • 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

  • Address11305 Four Points Drive Bldg 1, Suite 300
  • CityAustin
  • StateTX
  • Zip78726
  • Telephone(512) 693-4288
  • EIN20-4015413
  • Industry Code511210
  • Named AdministratorMatthew Bates
  • Named Plan SponsorMatthew Bates

Audit Information

  • Audit StatusAudited
  • AuditorHoltzman Partners
  • Auditor EIN74-3121060
  • 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.
2R Brokerage Window Participant-directed brokerage accounts provided as an investment option under the plan.
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? No
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 $751,041
Contributions $1,272,572
Cash Contributions $1,272,572
Cash from Employers $4,715
Cash from Participants $1,219,535
Others (including rollovers) $48,322
Noncash Contributions $0
Total Earnings on Investments $-521,531
Total Interest $18,431
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $4,391
Interest from Other Investments $14,040
Total Dividends $372,295
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 $-912,257
Other Income $0
Expenses $900,075
Total Benefit Payments $836,743
Directly to participants or beneficiaries, including direct rollovers $836,743
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 $63,332
Professional Fees $0
Contract Administrator Fees $1,603
Investment Advisory and management fees $61,729
Other Administrative Fees $0
Net Income $-149,034
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 $8,341,776 $8,490,810 -1.76%
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 $76,081 $91,771 -17.10%
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 $7,565,722 $7,588,769 -0.30%
Value of funds held in insurance co. general account $699,973 $810,270 -13.61%
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 $8,341,776 $8,490,810 -1.76%

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
Massachusetts Mutual Life Ins. Co. Other services, Investment management fees paid indirectly by plan, Sub-transfer agency fees, Recordkeeping fees, Other investment fees and expenses Contract Administrator $63,332 $0 $63,332
Sageview Advisory Group LLC Investment advisory (plan) Investment Advisor $0 $30,331 $30,331
American Beacon Investment management fees paid indirectly by plan Investment Provider $0 $0 $0
Fidelity Advisor Investment management fees paid indirectly by plan Investment Provider $0 $0 $0
Janus Henderson Investment management fees paid indirectly by plan Investment Provider $0 $0 $0
Jp Morgan Investment management fees paid indirectly by plan Investment Provider $0 $0 $0
Lazard Investment management fees paid indirectly by plan Investment Provider $0 $0 $0
Lord Abbett Investment management fees paid indirectly by plan Investment Provider $0 $0 $0
Metropolitan West Asset Management Investment management fees paid indirectly by plan Investment Provider $0 $0 $0
Mfs Investment Management Investment management fees paid indirectly by plan Investment Provider $0 $0 $0
The Hartford Investment management fees paid indirectly by plan Investment Provider $0 $0 $0
Vanguard Investment management fees paid indirectly by plan Investment Provider $0 $0 $0
Vanguard Investment management fees paid indirectly by plan Investment Provider $0 $0 $0
Total $63,332 $30,331 $93,663

Indirect Compensation

Name Source of Indirect Compensation* Nature of Service Description of Indirect Compensation Indirect Compensation Paid by Plan
Massachusetts Mutual Life Ins. Co. Prem U.S. Govt Mny Mkt Fd Barings Investment management fees paid indirectly by plan, Other investment fees and expenses Basis Points * Plan Assets $0
Massachusetts Mutual Life Ins. Co. Lord Abbett Calibrated Midcapval Fd Sub-transfer agency fees Basis Points * Plan Assets $0
Massachusetts Mutual Life Ins. Co. Lazard Intl Strategic Equity Fd Sub-transfer agency fees Basis Points * Plan Assets $0
Massachusetts Mutual Life Ins. Co. Jp Morgan Value Advantage Fund Sub-transfer agency fees Basis Points * Plan Assets $0
Massachusetts Mutual Life Ins. Co. Millennium Trust Company, LLC Other services Referral Fee $0
Massachusetts Mutual Life Ins. Co. Janus Henderson Triton Fd Sub-transfer agency fees Basis Points * Plan Assets $0
Sageview Advisory Group LLC Massachusetts Mutual Life Ins. Co. Investment advisory (plan) Plan Related Expenses $30,331
American Beacon American Beacon Zebra Smallcapeq Fd Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
Fidelity Advisor Fidelity Advisor New Insights Fund Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
Janus Henderson Janus Henderson Triton Fd Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
Jp Morgan Jp Morgan Value Advantage Fund Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
Lazard Lazard Intl Strategic Equity Fd Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
Lord Abbett Lord Abbett Calibrated Midcapval Fd Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
Metropolitan West Asset Management Metropolitan West Total Rtrn Bnd Fd Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
Mfs Investment Management Mfs Mid Cap Value Fund Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
The Hartford Hartford Midcap Fund Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
Vanguard Vanguard Mid-Cap Growth Fund Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
Vanguard Vanguard Total Bond Mrkt Index Fund Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
Vanguard Vanguard Total Intl Stock Index Fd Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
Vanguard Vanguard 500 Index Fund Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
Vanguard Vanguard Mid Cap Index Fund Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
Vanguard Vanguard Small Cap Index Fund Investment management fees paid indirectly by plan Basis Points * Plan Assets $0
*As outlined by the Form 5500 Instructions for service providers with indirect compensation.

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

No investments information available for this plan.

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
Massachusetts Mutual Life Insurance Company 192
EIN 04-1590850
Industry Code 65935
Contract Number MR 61879
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 $0
Persons Receiving Commissions and Fees There are no brokers listed for this plan.
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 $810,270
Additions $123,976
Contributions Deposited during the year $96,823
Dividends and credits $0
Interest credited during the year $14,040
Transferred from separate account $0
Other $13,113
Total of Balance and Additions $934,246
Deductions $234,273
Disbursed from fund to pay benefits or purchase annuities during the year $133,455
Administration charge made by carrier $5,618
Transferred to Separate Account $94,739
Other $461
Balance at the end of the current year $699,973