401k Plan data: COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN plan

COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	003

COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Stock bonus Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP.

401k Sponsoring company profile

COOK & CO., INC. has sponsored the creation of one or more 401k plans.

Company Name: COOK & CO., INC.

Employer identification number (EIN): 042733774

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Form 5500 Filing Information

Submission information for form 5500 for 401k plan COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2013-01-01 PETER COOK
003 2012-01-01 PETER COOK
003 2011-01-01 PETER COOK
003 2009-01-01 GAIL MCNULTY PETER A. COOK 2010-10-28
003 2009-01-01 GAIL MCNULTY
003 2009-01-01 PETER COOK

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2013-01-01	PETER COOK
003	2012-01-01	PETER COOK
003	2011-01-01	PETER COOK
003	2009-01-01	GAIL MCNULTY	PETER A. COOK	2010-10-28
003	2009-01-01	GAIL MCNULTY
003	2009-01-01	PETER COOK

Plan Statistics for COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2013: COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 38
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 0
Number of participants with account balances 2013-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 40
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 14
Number of retired or separated participants receiving benefits 2012-01-01 4
Number of other retired or separated participants entitled to future benefits 2012-01-01 20
Total of all active and inactive participants 2012-01-01 38
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 38
Number of participants with account balances 2012-01-01 38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 3
2011: COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 41
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 29
Number of retired or separated participants receiving benefits 2011-01-01 4
Number of other retired or separated participants entitled to future benefits 2011-01-01 7
Total of all active and inactive participants 2011-01-01 40
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 40
Number of participants with account balances 2011-01-01 40
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 41
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 30
Number of retired or separated participants receiving benefits 2009-01-01 1
Number of other retired or separated participants entitled to future benefits 2009-01-01 7
Total of all active and inactive participants 2009-01-01 38
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 38
Number of participants with account balances 2009-01-01 38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2013: COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	38
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	0
Number of participants with account balances	2013-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	40
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	14
Number of retired or separated participants receiving benefits	2012-01-01	4
Number of other retired or separated participants entitled to future benefits	2012-01-01	20
Total of all active and inactive participants	2012-01-01	38
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	38
Number of participants with account balances	2012-01-01	38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	3
2011: COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	41
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	29
Number of retired or separated participants receiving benefits	2011-01-01	4
Number of other retired or separated participants entitled to future benefits	2011-01-01	7
Total of all active and inactive participants	2011-01-01	40
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	40
Number of participants with account balances	2011-01-01	40
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	41
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	30
Number of retired or separated participants receiving benefits	2009-01-01	1
Number of other retired or separated participants entitled to future benefits	2009-01-01	7
Total of all active and inactive participants	2009-01-01	38
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	38
Number of participants with account balances	2009-01-01	38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2013 : COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$114,105
Expenses. Total of all expenses incurred	2013-12-31	$513,841
Benefits paid (including direct rollovers)	2013-12-31	$513,841
Total plan assets at end of year	2013-12-31	$0
Total plan assets at beginning of year	2013-12-31	$399,736
Value of fidelity bond covering the plan	2013-12-31	$50,000
Other income received	2013-12-31	$114,105
Net income (gross income less expenses)	2013-12-31	$-399,736
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$399,736
Assets. Value of employer securities	2013-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$-103,509
Expenses. Total of all expenses incurred	2012-12-31	$38,837
Benefits paid (including direct rollovers)	2012-12-31	$38,837
Total plan assets at end of year	2012-12-31	$399,736
Total plan assets at beginning of year	2012-12-31	$542,082
Value of fidelity bond covering the plan	2012-12-31	$50,000
Other income received	2012-12-31	$-142,346
Net income (gross income less expenses)	2012-12-31	$-142,346
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$399,736
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$542,082
Assets. Value of employer securities	2012-12-31	$399,368
Total contributions received or receivable from employer(s)	2012-12-31	$38,837
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$94,356
Expenses. Total of all expenses incurred	2011-12-31	$37,330
Benefits paid (including direct rollovers)	2011-12-31	$37,330
Total plan assets at end of year	2011-12-31	$542,082
Total plan assets at beginning of year	2011-12-31	$485,056
Value of fidelity bond covering the plan	2011-12-31	$500,000
Other income received	2011-12-31	$57,026
Net income (gross income less expenses)	2011-12-31	$57,026
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$542,082
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$485,056
Assets. Value of employer securities	2011-12-31	$542,000
Total contributions received or receivable from employer(s)	2011-12-31	$37,330
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$0
Expenses. Total of all expenses incurred	2010-12-31	$0
Benefits paid (including direct rollovers)	2010-12-31	$52,614
Total plan assets at end of year	2010-12-31	$456,453
Total plan assets at beginning of year	2010-12-31	$456,453
Value of fidelity bond covering the plan	2010-12-31	$500,000
Other income received	2010-12-31	$28,526
Net income (gross income less expenses)	2010-12-31	$0
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$456,453
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$456,453
Assets. Value of employer securities	2010-12-31	$456,421
Total contributions received or receivable from employer(s)	2010-12-31	$52,691
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN

2013: COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	Yes
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: COOK & COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	COOK & CO., INC.
Employer identification number (EIN):	042733774
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages