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Original filing (PDF)20251015142644NAL0002449443001
GERTRUDE HAWK BRANDS, INC.
Form 5500
FILING_RECEIVED
GERTRUDE HAWK CHOCOLATES 401(K) PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
420
Accounts w/ balance
439
Plan assets (EOY)
$23.9M
Net assets (EOY)
$23.9M
How this plan invests
This plan
2 pooled trusts
Schedule D
35 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
98
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
100
Vendor stack
80
Participation health
100
Knocking points off
- No recordkeeper disclosed on Schedule C.
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for GERTRUDE HAWK BRANDS, INC..
Plan sponsor
Name
GERTRUDE HAWK BRANDS, INC.
EIN
23-2069119
Address
901 KEYSTONE PARK ROAD · DUNMORE, PA · 18512
Phone
(570) 342-7556
Industry
Manufacturingsee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
002
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-10-15
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2S · Automatic enrollment
2T · Default investment account (QDIA)
3D · Pre-approved plan (master / prototype / VS)
3F · Sponsor used leased employees
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
MMQ & ASSOCIATES PC
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsAdvisor / Consultant
2| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| WELLS FARGO CLEARING SERVICES LLC | 34-1542819 | — | INVESTMENT ADVISORY | $0 | — |
| WELLS FARGO ADVISORS FIN NETWORK | 48-1305000 | — | INVESTMENT ADVISORY | $0 | — |
TPA / Administrator
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| PRINCIPAL LIFE INSURANCE COMPANY | 42-0127290 | — | CONTRACT ADMINISTRATOR | $55K | — |
Other
1| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| MORNINGSTAR INVESTMENT MANAGEMENT L | 36-4317381 | — | INV ADV, PARTICIPANTS | $0 | — |
Investments
35 direct securities · 2 pooled funds· $27.1M(100% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Uncategorized
$23.9M
35 holdings
Pooled Separate Account
$3.2M
2 holdings
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| PIMCO CommPLUS Strat Inst Fund | — | — | $0 | $4.4M | 18.5% | |
| PRIN BLUE CHIP SA-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 133 | Pooled Separate Account | — | — | $2.7M | 11.1% | |
| Principal Guaranteed Option | — | — | $0 | $2.7M | 11.1% | |
| Am Fds 2065 Trgt Dte Rtm R6 Fd | — | — | $0 | $2.0M | 8.3% | |
| American Century LgC Eq R6 Fd | — | — | $0 | $2.0M | 8.2% | |
| Am Fds 2060 Trgt Dte Rtm R6 Fd | — | — | $0 | $1.8M | 7.4% | |
| Prin Core Fix Inc Sep Acct-Z | — | — | $0 | $1.4M | 5.7% | |
| Prin Blue Chip SA-Z | — | — | $0 | $1.2M | 4.8% | |
| Amer Funds Amer Bal R6 Fd | — | — | $0 | $1.0M | 4.4% | |
| Am Fds 2030 Trgt Dte Rtm R6 Fd | — | — | $0 | $907K | 3.8% | |
| Am Fds 2040 Trgt Dte Rtm R6 Fd | — | — | $0 | $884K | 3.7% | |
| Am Fds 2035 Trgt Dte Rtm R6 Fd | — | — | $0 | $851K | 3.6% | |
| Columbia Strat Income I3 Fund | — | — | $0 | $622K | 2.6% | |
| Fidelity NASDAQ Cmpsite Idx Fd | — | — | $0 | $513K | 2.1% | |
| Fidelity 500 Index Fund | — | — | $0 | $505K | 2.1% | |
| PRIN CORE FIX INC SEP ACCT-Z PRINCIPAL LIFE INSURANCE COMPANY · EIN 42-0127290 / PN 118 | Pooled Separate Account | — | — | $505K | 2.1% | |
| Am Fds 2055 Trgt Dte Rtm R6 Fd | — | — | $0 | $421K | 1.8% | |
| Am Fds 2045 Trgt Dte Rtm R6 Fd | — | — | $0 | $377K | 1.6% | |
| VANGUARD FTSE SOC IDX ADM FD | — | — | $0 | $318K | 1.3% | |
| Vanguard Sm Cap Index Adm Fund | — | — | $0 | $302K | 1.3% | |
| Am Fds 2025 Trgt Dte Rtm R6 Fd | — | — | $0 | $287K | 1.2% | |
| MFS Value R6 Fund | — | — | $0 | $236K | 1.0% | |
| Virtus KAR MdCp Growth R6 Fd | — | — | $0 | $233K | 1.0% | |
| Am Fds 2050 Trgt Dte Rtm R6 Fd | — | — | $0 | $176K | 0.7% | |
| 1919 SOCIALLY RESP BAL I FUND | — | — | $0 | $154K | 0.6% | |
| Am Fds 2020 Trgt Dte Rtm R6 Fd | — | — | $0 | $137K | 0.6% | |
| AMERICAN FUNDS 2070 TDR R6 FD | — | — | $0 | $119K | 0.5% | |
| Baron Partners Instl Fund | — | — | $0 | $111K | 0.5% | |
| Am Fds 2015 Trgt Dte Rtm R6 Fd | — | — | $0 | $110K | 0.5% | |
| Brown Advisory Sust Grw I Fd | — | — | $0 | $106K | 0.4% | |
| AB Small Cap Grwth Port Z Fd | — | — | $0 | $58K | 0.2% | |
| American Funds NewWorld R6 | — | — | $0 | $47K | 0.2% | |
| Am Fd Intl Growth & Inc R6 Fd | — | — | $0 | $46K | 0.2% | |
| Am Fds 2010 Trgt Dte Rtm R6 Fd | — | — | $0 | $30K | 0.1% | |
| Vanguard MidCap Val Idx Adm Fd | — | — | $0 | $12K | <0.1% | |
| Vanguard Dev Mkts Index Adm Fd | — | — | $0 | $502 | <0.1% | |
| PIMCO RAE PLUS Small Instl Fnd | — | — | $0 | $495 | <0.1% |
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