Filed December 29, 1993 (most recent of 2 filings on file)
This is a legacy paper filing. Plan administrator and contact details are recorded in the original filing, which has not been digitised into structured fields.
Counterparties on defaulted loans (Part 1), defaulted leases (Part 2), and non-exempt prohibited transactions (Part 3). Presence of any row warrants fiduciary review.
| Category | Counterparty | Relationship / Terms | Address | Amount |
|---|---|---|---|---|
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MGMT | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECT 406(B)(1) INVOLVING EXT OF CREDIT AS A RESULT OF BOND PURCHASE | — | $691K |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MGMT | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECT 406(B)(1) INVOLVING EXT OF CREDIT AS A RESULT OF BOND PURCHASE | — | $0 |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MGMT | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECT 406(B)(1) INVOLVING EXT OF CREDIT AS A RESULT OF BOND PURCHASE | — | $0 |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MGMT | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECT 406(B)(1) INVOLVING EXT OF CREDIT AS A RESULT OF BOND PURCHASE | — | $0 |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MGMT | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECT 406(B)(1) INVOLVING EXT OF CREDIT AS A RESULT OF BOND PURCHASE | — | $0 |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MGMT | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECT 406(B)(1) INVOLVING EXT OF CREDIT AS A RESULT OF BOND PURCHASE | — | $0 |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MGMT | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECT 406(B)(1) INVOLVING EXT OF CREDIT AS A RESULT OF BOND PURCHASE | — | $0 |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MGMT | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECT 406(B)(1) INVOLVING EXT OF CREDIT AS A RESULT OF BOND PURCHASE | — | $0 |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MGMT | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECT 406(B)(1) INVOLVING EXT OF CREDIT AS A RESULT OF BOND PURCHASE | — | $0 |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MGMT | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECT 406(B)(1) INVOLVING EXT OF CREDIT AS A RESULT OF BOND PURCHASE | — | $0 |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MGMT | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECT 406(B)(1) INVOLVING EXT OF CREDIT AS A RESULT OF BOND PURCHASE | — | $0 |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MGMT | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECT 406(B)(1) INVOLVING EXT OF CREDIT AS A RESULT OF BOND PURCHASE | — | $0 |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MGMT | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECT 406(B)(1) INVOLVING EXT OF CREDIT AS A RESULT OF BOND PURCHASE | — | $0 |
| Part 3 Non-exempt transaction | GALLIARD CAPITAL MGMT | INVESTMENT MANAGER POTENTIAL VIOLATION OF ERISA SECT 406(B)(1) INVOLVING EXT OF CREDIT AS A RESULT OF BOND PURCHASE | — | $0 |
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor signed off without reservation - the cleanest possible opinion.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $121,538 | $329,111-63.1% | $108,745+11.8% | $329,111-63.1% |
| Participation rate | 88.6% | 67.9%+20.8pp | 77.7%+11.0pp | 67.9%+20.8pp |
| Annual return | 6.97% | 16.35%-9.4pp | 46.22%-39.3pp | 16.35%-9.4pp |
| Employer contribution / active EE | $4,299 | $2,303+86.6% | $3,323+29.4% | $2,303+86.6% |
| Participant deferral / active EE | $5,555 | $3,682+50.9% | $5,121+8.5% | $3,682+50.9% |
| Admin fee / account holder | $0 | $754-100.0% | $6,144-100.0% | $754-100.0% |