401k Plan data: AUI, INC. 401(K) PROFIT SHARING PLAN plan

AUI, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	AUI, INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

AUI, INC. 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

AUI, INC. has sponsored the creation of one or more 401k plans.

Company Name: AUI, INC.

Employer identification number (EIN): 271729924

NAIC Classification: 238210
NAIC Description: Electrical Contractors and Other Wiring Installation Contractors

Form 5500 Filing Information

Submission information for form 5500 for 401k plan AUI, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 DEBORAH GRANGER 2018-03-13 DEBORAH GRANGER 2018-03-13
001 2016-01-01 DEBORAH E GRANGER 2017-07-31 DEBORAH E GRANGER 2017-07-31
001 2016-01-01 DEBORAH E GRANGER 2017-01-18 DEBORAH E GRANGER 2017-01-18
001 2015-01-01 DEBORAH GRANGER 2016-01-19 DEBORAH GRANGER 2016-01-19
001 2014-01-01 DEBORAH GRANGER 2015-03-13 DEBORAH GRANGER 2015-03-13
001 2013-01-01 DEBORAH GRANGER 2014-03-03 DEBORAH GRANGER 2014-03-03
001 2012-01-01 DEBBIE GRANGER 2013-04-11 DEBBIE GRANGER 2013-04-11

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01	DEBORAH GRANGER	2018-03-13	DEBORAH GRANGER	2018-03-13
001	2016-01-01	DEBORAH E GRANGER	2017-07-31	DEBORAH E GRANGER	2017-07-31
001	2016-01-01	DEBORAH E GRANGER	2017-01-18	DEBORAH E GRANGER	2017-01-18
001	2015-01-01	DEBORAH GRANGER	2016-01-19	DEBORAH GRANGER	2016-01-19
001	2014-01-01	DEBORAH GRANGER	2015-03-13	DEBORAH GRANGER	2015-03-13
001	2013-01-01	DEBORAH GRANGER	2014-03-03	DEBORAH GRANGER	2014-03-03
001	2012-01-01	DEBBIE GRANGER	2013-04-11	DEBBIE GRANGER	2013-04-11

Plan Statistics for AUI, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for AUI, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2023: AUI, INC. 401(K) PROFIT SHARING PLAN 2023 401k membership
Total participants, beginning-of-year 2023-01-01 299
Total number of active participants reported on line 7a of the Form 5500 2023-01-01 248
Number of retired or separated participants receiving benefits 2023-01-01 0
Number of other retired or separated participants entitled to future benefits 2023-01-01 75
Total of all active and inactive participants 2023-01-01 323
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2023-01-01 1
Total participants 2023-01-01 324
Number of participants with account balances 2023-01-01 268
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2023-01-01 0
2022: AUI, INC. 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 302
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 249
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 47
Total of all active and inactive participants 2022-01-01 296
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 296
Number of participants with account balances 2022-01-01 209
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 2
2021: AUI, INC. 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 257
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 253
Number of retired or separated participants receiving benefits 2021-01-01 4
Number of other retired or separated participants entitled to future benefits 2021-01-01 36
Total of all active and inactive participants 2021-01-01 293
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 293
Number of participants with account balances 2021-01-01 170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 2
2020: AUI, INC. 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 177
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 206
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 40
Total of all active and inactive participants 2020-01-01 246
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 246
Number of participants with account balances 2020-01-01 153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 3
2019: AUI, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 154
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 165
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 9
Total of all active and inactive participants 2019-01-01 174
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 174
Number of participants with account balances 2019-01-01 124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 5
2018: AUI, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 125
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 139
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 15
Total of all active and inactive participants 2018-01-01 154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 154
Number of participants with account balances 2018-01-01 109
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 3

Measure	Date	Value
2023: AUI, INC. 401(K) PROFIT SHARING PLAN 2023 401k membership
Total participants, beginning-of-year	2023-01-01	299
Total number of active participants reported on line 7a of the Form 5500	2023-01-01	248
Number of retired or separated participants receiving benefits	2023-01-01	0
Number of other retired or separated participants entitled to future benefits	2023-01-01	75
Total of all active and inactive participants	2023-01-01	323
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2023-01-01	1
Total participants	2023-01-01	324
Number of participants with account balances	2023-01-01	268
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2023-01-01	0
2022: AUI, INC. 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	302
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	249
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	47
Total of all active and inactive participants	2022-01-01	296
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	296
Number of participants with account balances	2022-01-01	209
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	2
2021: AUI, INC. 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	257
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	253
Number of retired or separated participants receiving benefits	2021-01-01	4
Number of other retired or separated participants entitled to future benefits	2021-01-01	36
Total of all active and inactive participants	2021-01-01	293
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	293
Number of participants with account balances	2021-01-01	170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	2
2020: AUI, INC. 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	177
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	206
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	40
Total of all active and inactive participants	2020-01-01	246
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	246
Number of participants with account balances	2020-01-01	153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	3
2019: AUI, INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	154
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	165
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	9
Total of all active and inactive participants	2019-01-01	174
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	174
Number of participants with account balances	2019-01-01	124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	5
2018: AUI, INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	125
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	139
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	15
Total of all active and inactive participants	2018-01-01	154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	154
Number of participants with account balances	2018-01-01	109
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	3

Financial Data on AUI, INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2023 : AUI, INC. 401(K) PROFIT SHARING PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets	2023-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2023-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2023-12-31	$0
Total income from all sources (including contributions)	2023-12-31	$3,361,450
Total loss/gain on sale of assets	2023-12-31	$0
Total of all expenses incurred	2023-12-31	$473,016
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2023-12-31	$422,953
Expenses. Certain deemed distributions of participant loans	2023-12-31	$56
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2023-12-31	$1,873,932
Value of total assets at end of year	2023-12-31	$9,582,777
Value of total assets at beginning of year	2023-12-31	$6,694,343
Total of administrative expenses incurred including professional, contract, advisory and management fees	2023-12-31	$50,007
Total interest from all sources	2023-12-31	$12,666
Total dividends received (eg from common stock, registered investment company shares)	2023-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2023-12-31	No
Was this plan covered by a fidelity bond	2023-12-31	Yes
Value of fidelity bond cover	2023-12-31	$500,000
If this is an individual account plan, was there a blackout period	2023-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2023-12-31	No
Contributions received from participants	2023-12-31	$1,163,619
Participant contributions at end of year	2023-12-31	$217,158
Participant contributions at beginning of year	2023-12-31	$119,311
Income. Received or receivable in cash from other sources (including rollovers)	2023-12-31	$56,037
Administrative expenses (other) incurred	2023-12-31	$4,675
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2023-12-31	No
Value of net income/loss	2023-12-31	$2,888,434
Value of net assets at end of year (total assets less liabilities)	2023-12-31	$9,582,777
Value of net assets at beginning of year (total assets less liabilities)	2023-12-31	$6,694,343
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2023-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2023-12-31	No
Were any leases to which the plan was party in default or uncollectible	2023-12-31	No
Investment advisory and management fees	2023-12-31	$1,581
Value of interest in pooled separate accounts at end of year	2023-12-31	$9,243,772
Value of interest in pooled separate accounts at beginning of year	2023-12-31	$6,499,618
Interest on participant loans	2023-12-31	$11,282
Interest earned on other investments	2023-12-31	$1,384
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2023-12-31	$121,847
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2023-12-31	$75,414
Net investment gain/loss from pooled separate accounts	2023-12-31	$1,474,852
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2023-12-31	No
Was there a failure to transmit to the plan any participant contributions	2023-12-31	No
Has the plan failed to provide any benefit when due under the plan	2023-12-31	No
Contributions received in cash from employer	2023-12-31	$654,276
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2023-12-31	$422,953
Contract administrator fees	2023-12-31	$43,751
Did the plan have assets held for investment	2023-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2023-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2023-12-31	No
Opinion of an independent qualified public accountant for this plan	2023-12-31	Unqualified
Accountancy firm name	2023-12-31	STELMACK DOBRANSKY & EANNACE LLC
Accountancy firm EIN	2023-12-31	251900686
2022 : AUI, INC. 401(K) PROFIT SHARING PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$4,554
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$575,340
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$530,805
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$1,322,348
Value of total assets at end of year	2022-12-31	$6,694,343
Value of total assets at beginning of year	2022-12-31	$7,265,129
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$44,535
Total interest from all sources	2022-12-31	$10,828
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$822,822
Participant contributions at end of year	2022-12-31	$119,311
Participant contributions at beginning of year	2022-12-31	$112,054
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$14,332
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-570,786
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$6,694,343
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$7,265,129
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$7,093,892
Value of interest in pooled separate accounts at end of year	2022-12-31	$6,499,618
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$0
Interest on participant loans	2022-12-31	$10,140
Interest earned on other investments	2022-12-31	$688
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$75,414
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$59,183
Net investment gain/loss from pooled separate accounts	2022-12-31	$-1,328,622
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$485,194
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$530,805
Contract administrator fees	2022-12-31	$44,535
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	STELMACK DOBRANSKY & EANNACE LLC
Accountancy firm EIN	2022-12-31	251900686
2021 : AUI, INC. 401(K) PROFIT SHARING PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$2,213,882
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$499,593
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$459,115
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$1,177,482
Value of total assets at end of year	2021-12-31	$7,265,129
Value of total assets at beginning of year	2021-12-31	$5,550,840
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$40,478
Total interest from all sources	2021-12-31	$2,323
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$680,948
Participant contributions at end of year	2021-12-31	$112,054
Participant contributions at beginning of year	2021-12-31	$26,501
Participant contributions at end of year	2021-12-31	$0
Participant contributions at beginning of year	2021-12-31	$11,996
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$74,286
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$1,714,289
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$7,265,129
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$5,550,840
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$7,093,892
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$5,468,769
Interest on participant loans	2021-12-31	$1,724
Interest earned on other investments	2021-12-31	$599
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$59,183
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$35,363
Net investment gain/loss from pooled separate accounts	2021-12-31	$1,034,077
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$422,248
Employer contributions (assets) at end of year	2021-12-31	$0
Employer contributions (assets) at beginning of year	2021-12-31	$8,211
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$459,115
Contract administrator fees	2021-12-31	$40,478
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	STELMACK DOBRANSKY & EANNACE LLC
Accountancy firm EIN	2021-12-31	251900686
2020 : AUI, INC. 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$1,955,753
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$185,081
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$169,785
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,095,173
Value of total assets at end of year	2020-12-31	$5,550,840
Value of total assets at beginning of year	2020-12-31	$3,780,168
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$15,296
Total interest from all sources	2020-12-31	$664
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$12,165
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$12,165
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$566,560
Participant contributions at end of year	2020-12-31	$26,501
Participant contributions at beginning of year	2020-12-31	$0
Participant contributions at end of year	2020-12-31	$11,996
Participant contributions at beginning of year	2020-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$130,200
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$1,770,672
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$5,550,840
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$3,780,168
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$5,468,769
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$3,779,978
Interest on participant loans	2020-12-31	$509
Interest earned on other investments	2020-12-31	$155
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$190
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$190
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$35,363
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$-955,280
Net investment gain/loss from pooled separate accounts	2020-12-31	$1,803,031
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$398,413
Employer contributions (assets) at end of year	2020-12-31	$8,211
Employer contributions (assets) at beginning of year	2020-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$169,785
Contract administrator fees	2020-12-31	$15,296
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2020-12-31	Yes
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	STELMACK DOBRANSKY & EANNACE LLC
Accountancy firm EIN	2020-12-31	251900686
2019 : AUI, INC. 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$1,328,840
Total income from all sources (including contributions)	2019-12-31	$1,328,840
Total loss/gain on sale of assets	2019-12-31	$0
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$62,615
Total of all expenses incurred	2019-12-31	$62,615
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$62,515
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$62,515
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$708,548
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$708,548
Value of total assets at end of year	2019-12-31	$3,780,168
Value of total assets at end of year	2019-12-31	$3,780,168
Value of total assets at beginning of year	2019-12-31	$2,513,943
Value of total assets at beginning of year	2019-12-31	$2,513,943
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$100
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$100
Total interest from all sources	2019-12-31	$2
Total interest from all sources	2019-12-31	$2
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$161,869
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$161,869
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$161,869
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$161,869
Was this plan covered by a fidelity bond	2019-12-31	Yes
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$396,367
Contributions received from participants	2019-12-31	$396,367
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$1,266,225
Value of net income/loss	2019-12-31	$1,266,225
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$3,780,168
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$3,780,168
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$2,513,943
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$2,513,943
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$3,779,978
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$3,779,978
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$2,513,345
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$2,513,345
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$190
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$190
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$598
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$598
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$598
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$598
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$2
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$2
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$458,421
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$458,421
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$312,181
Contributions received in cash from employer	2019-12-31	$312,181
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$62,515
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$62,515
Contract administrator fees	2019-12-31	$100
Contract administrator fees	2019-12-31	$100
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	No
Opinion of an independent qualified public accountant for this plan	2019-12-31	Unqualified
Opinion of an independent qualified public accountant for this plan	2019-12-31	Unqualified
Accountancy firm name	2019-12-31	STELMACK DOBRANSKY & EANNACE LLC
Accountancy firm name	2019-12-31	STELMACK DOBRANSKY & EANNACE LLC
Accountancy firm EIN	2019-12-31	251900686
Accountancy firm EIN	2019-12-31	251900686
2018 : AUI, INC. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$432,101
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$103,825
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$103,625
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$598,101
Value of total assets at end of year	2018-12-31	$2,513,943
Value of total assets at beginning of year	2018-12-31	$2,185,667
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$200
Total interest from all sources	2018-12-31	$2
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$157,860
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$157,860
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$319,985
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$16,015
Administrative expenses (other) incurred	2018-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$328,276
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$2,513,943
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$2,185,667
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$2,513,345
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$2,185,667
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$598
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$2
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-323,862
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$262,101
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$103,625
Contract administrator fees	2018-12-31	$200
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	No
Opinion of an independent qualified public accountant for this plan	2018-12-31	Unqualified
Accountancy firm name	2018-12-31	STELMACK DOBRANSKY & EANNACE LLC
Accountancy firm EIN	2018-12-31	251900686

Form 5500 Responses for AUI, INC. 401(K) PROFIT SHARING PLAN

2023: AUI, INC. 401(K) PROFIT SHARING PLAN 2023 form 5500 responses
2023-01-01	Type of plan entity	Single employer plan
2023-01-01	Submission has been amended	No
2023-01-01	This submission is the final filing	No
2023-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2023-01-01	Plan is a collectively bargained plan	No
2023-01-01	Plan funding arrangement – Insurance	Yes
2023-01-01	Plan funding arrangement – Trust	Yes
2023-01-01	Plan benefit arrangement – Insurance	Yes
2023-01-01	Plan benefit arrangement - Trust	Yes
2022: AUI, INC. 401(K) PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: AUI, INC. 401(K) PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: AUI, INC. 401(K) PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: AUI, INC. 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: AUI, INC. 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

81E875

Policy instance

Insurance contract or identification number	81E875
Number of Individuals Covered	270
Insurance policy start date	2023-01-01
Insurance policy end date	2023-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

81E875

Policy instance

Insurance contract or identification number	81E875
Number of Individuals Covered	212
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

81E875

Policy instance

Insurance contract or identification number	81E875
Number of Individuals Covered	173
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

81E875

Policy instance

Insurance contract or identification number	81E875
Number of Individuals Covered	153
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $18,287
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	18287
Additional information about fees paid to insurance broker	TPA SERVICES
Insurance broker organization code?	5

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Company Name:	AUI, INC.
Employer identification number (EIN):	271729924
NAIC Classification:	238210
NAIC Description:	Electrical Contractors and Other Wiring Installation Contractors