3 Years of 5500's Filed Under Incorrect EIN

[415 Limit]

We administer a 401(k) plan that was effective 1/1/2006. Not knowing at the time, we filed using an incorrect EIN for the 2006 - 2008 plan years. We've just tried to file the 2009 return electronically but it got kicked back because the first two digits of the EIN happen to be prohibited digits. We were hoping that, rather than going back and amend 2006, 2007 and 2008, we could simply instead input in the 2009 filing that the EIN has changed and fill out section 4 with the prior (incorrect) information; however the electronic filing system won't accept the incorrect number in section 4, either.

Would it be worth a shot to transmit the 2009 Form 5500 using the correct EIN and then just wait for the government to send letters....or should we just take the time now and amend? Any opinions on this would be greatly appreciated.

Thanks!

[Kevin C]

Would it be worth a shot to transmit the 2009 Form 5500 using the correct EIN and then just wait for the government to send letters ...?

That's what I would do. I think this approach might be slightly less hassle than the other way. We haven't had any luck in getting this sort of issue resolved until we get a letter where the response will go to a live person. You should get a letter asking about the prior filings. Then you can explain what happened.

If you amend 2006-2008, I would expect you to get three years worth of late filing letters since they were not filed under the same EIN as the timely returns. Then you can explain what happened, three times. Both methods should get you to the same place eventually.

[415 Limit]

Thanks for you input, Kevin!