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Form 5500SF and Code 4R


pjr@frdayton.com

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We have a small employer health plan that is maintained in conjunction with a trust.  Therefore, it is funded and we file a Form 5500SF.  We have assigned the filing Plan # 501.  When the plan terminates the trust and switches over to a fully insured product we list Code 4R saying the plan will not file a Form 5500SF going forward.  We believe this is better than indicating it is a final filing.  In other words, the plan continues, but the funding method has changed; but the plan is not terminated.  If we marked the filing as final, then we would have to use Plan # 502.  

Does anybody have any thoughts on this?  Clearly we have to use Code 4R or mark it as final; otherwise the government will expect another filing.  Again, we think the better approach is to use Code 4R rather than indicate it is a final filing when the employer simply continue the plan but changes the funding method.  Thanks.   

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