Filed March 27, 2011
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.
| Provider | Service type | Compensation |
|---|---|---|
Service code 37 · EIN 04-2647786 | Loan Processing | $218,585 |
UBS FINANCIAL SERVICES INC1+ years Filed as: UBS FINANCIAL SERVICES, INC. Service code 16 · EIN 13-2638166 | Consulting | $50,000 |
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 | K S SALT LLC MORTON SALT, INC | PLAN SPONSOR/PARTICIPATING EMPLOYER DISTRIBUTION OVERPAYMENTS OF $5,297 RETURNED TO EMPLOYER WERE NOT IMMEDIATELY PAID TO PLAN'S TRUST | — | — |
| Part 3 Non-exempt transaction | K S SALT LLC MORTON SALT, INC. | PLAN SPONSOR/PARTICIPATING EMPLOYER OVERPAYMENT AMOUNTS AND EARNINGS OF $145 WERE RETURNED TO THE PLAN'S TRUST. | — | — |
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $93,017 | $88,646+4.9% | $90,223+3.1% | $59,188+57.2% |
| Participation rate | 98.3% | 84.8%+13.5pp | 79.0%+19.3pp | 69.4%+28.9pp |
| Annual return | -0.21% | 11.82%-12.0pp | 1.31%-1.5pp | 5.51%-5.7pp |
| Employer contribution / active EE | $7,729 | $5,463+41.5% | $4,378+76.5% | $2,098+268.4% |
| Participant deferral / active EE | $5,739 | $6,586-12.9% | $5,792-0.9% | $3,265+75.8% |
| Admin fee / account holder | $90 | $63+43.7% | $7,406-98.8% | $92-2.1% |