Retirement plan

CARLSBAD TECHNOLOGY, INC. 401(K) PROFIT SHARING PLAN

Name: CARLSBAD TECHNOLOGY, INC - CARLSBAD TECHNOLOGY, INC. 401(K) PROFIT SHARING PLAN (2017) Form 5500
Creator: CARLSBAD TECHNOLOGY, INC
License: https://www.dol.gov/general/disclaim
Keywords: Form 5500, ERISA, retirement plan, CARLSBAD TECHNOLOGY, INC. 401(K) PROFIT SHARING PLAN, CARLSBAD TECHNOLOGY, INC

CARLSBAD TECHNOLOGY, INCEIN 33-0441961Plan #001PY 2017

5928 FARNSWORTH COURT - CARLSBAD, CA 92008760-431-8284

Prospect flagsLow fidelity bond

How to read this page

Total assets (EOY)

$3.2M

+21.7% from 2016

Total participants

118

-16.9% from 2016

Average account balance

$34,175

+28.2% from 2016

Annual return

16.86%

+10.48 pp from 2016

Benchmarks

See 5,958 peers

Peer group

Industry32 - Manufacturing

Plan typeDefined contribution

Participants25-99

Cohort5,958 peers

Snapshot2017

Free accounts unlock saves, downloads, and 3-year history.

Analytics

Total assets (EOY)

Plan-year ending balance

$6.14M

Not enough data

1 years with asset history on file

Average account balance

Total assets / participants with a balance (line 6g)

$65K

Not enough data

1 years with per-participant data

Participants with account balance

Stacked by status: active / separated vested / retired or beneficiary. Total = line 6g.

Not enough data

1 years with headcount on file

Eligible Participants and Participation

Bars: eligible actives (line 6a). Line: derived rate = active employees with a balance / 6a.

122.1%

Not enough data

1 years with eligibility data

Contributions (total)

Employer and participant dollars contributed each year

$595K

Not enough data

1 years with contributions on file

Contributions per participant

Average employer and participant contribution per enrolled participant

$8K

Not enough data

1 years with per-participant contribution data

Asset flow

BOY + contributions + return - distributions = EOY

Year

Annual return

Diverging bars; negative years highlighted

+12.82%

Not enough data

1 years with return on file

Admin fee / account holder

Total admin expenses / participants with a balance (line 6g)

$1655

Not enough data

1 years with admin cost on file

Asset composition

Cash / stocks / bonds / mutual funds / real estate / loans over time

Not enough data

0 years with F_SCH_H allocation on file

Free accounts unlock saves, downloads, and 3-year history.

Service providers

Top 3 by compensation

Provider	Service type	Compensation
ADP BROKER-DEALER3+ years Filed as: ADP, LLC Service code 15 · EIN 13-3036745	Recordkeeping	$1,495
ADP BROKER-DEALER3+ years Service code 59 · EIN 22-3319984	Shareholder Servicing	$0
UBS FINANCIAL SERVICES INC3+ years Filed as: UBS Service code 49 17140 BERNARDO CENTER DR 350 · SAN DIEGO, CA 92128	Other Services	$0

Plan features & details

Pension benefit codes2E2F2G2J2K2T3D

Plan features

2E
Profit-sharing
Profit-sharing plan.
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 (shifting investment responsibility to participants).
2G
Total participant-directed account plan
Participants have the opportunity to direct the investment of all of 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
Cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan under which employees may elect 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 to 401(k) plans with only QNECs and/or QMACs or to 403(b)(1) 403(b)(7) or 408 arrangements.
2T
Default investment account
Total or partial participant-directed account plan where plan uses a default investment account for participants who fail to direct assets in their account.
3D
Pre-approved pension plan
A master prototype or volume submitter plan that is the subject of a favorable opinion or advisory letter from the IRS.

Opportunity flags

1 tripped

ComplianceLow fidelity bond
Fidelity bond coverage is below the ERISA section 412 10%-of-assets minimum (capped at $500,000).

Expense breakdown

Schedule H Part II

Admin total

$1K

$18 / participant

Other / not subdivided$1K100.0%

% of EOY assets

0.047%

all-in expense ratio

Categories reported

0 / 9

subdivided buckets used

Audit opinion

Schedule H Part III

Disclaimer opinion

Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.

Auditor firm: WEI & WEI CO
Auditor EIN: 952802947
Audit fees: (not subdivided)
Opinion code: Disclaimer

Metric

This plan

Peer set

Industry

Size

Avg account balance

$34,175

$67,411-49.3%

$91,004-62.4%

$70,126-51.3%

Participation rate

70.6%

71.4%-0.8pp

75.6%-5.0pp

69.5%+1.0pp

Annual return

16.86%

-40.16%+57.0pp

4.60%+12.3pp

73.15%-56.3pp

Employer contribution / active EE

$533

$1,786-70.1%

$2,456-78.3%

$2,343-77.2%

Participant deferral / active EE

$2,596

$2,823-8.0%

$3,548-26.8%

$3,332-22.1%

Admin fee / account holder

$16

$4,236-99.6%

$5,417-99.7%

$4,645-99.7%

Provider

Service type

Compensation

ADP BROKER-DEALER3+ years

Filed as: ADP, LLC

Service code 15 · EIN 13-3036745

Recordkeeping

$1,495

ADP BROKER-DEALER3+ years

Service code 59 · EIN 22-3319984

Shareholder Servicing

UBS FINANCIAL SERVICES INC3+ years

Filed as: UBS

Service code 49

17140 BERNARDO CENTER DR 350 · SAN DIEGO, CA 92128

Other Services

CARLSBAD TECHNOLOGY, INC. 401(K) PROFIT SHARING PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

CARLSBAD TECHNOLOGY, INC. 401(K) PROFIT SHARING PLAN

Summary metrics

Benchmarksi

Analytics

Service providersi

Plan features & details

Opportunity flagsi

Expense breakdowni

Audit opinioni

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion

Benchmarks

Service providers

Opportunity flags

Expense breakdown

Audit opinion