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WILLIAM LYON HOMES, INC. 401(K) PLAN 401k Plan overview

Plan NameWILLIAM LYON HOMES, INC. 401(K) PLAN
Plan identification number 001

WILLIAM LYON HOMES, INC. 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • 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.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • 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.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

WILLIAM LYON HOMES, INC. has sponsored the creation of one or more 401k plans.

Company Name:WILLIAM LYON HOMES, INC.
Employer identification number (EIN):330253855
NAIC Classification:531390
NAIC Description:Other Activities Related to Real Estate

Additional information about WILLIAM LYON HOMES, INC.

Jurisdiction of Incorporation: Texas Secretary of State
Incorporation Date: 2018-03-09
Company Identification Number: 0802958864
Legal Registered Office Address: 4900 N SCOTTSDALE RD STE 2000

SCOTTSDALE
United States of America (USA)
85251

More information about WILLIAM LYON HOMES, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WILLIAM LYON HOMES, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01MAUREEN L. SINGER
0012016-01-01MAUREEN L. SINGER
0012015-01-01MAUREEN L. SINGER
0012014-01-01MAUREEN L. SINGER
0012014-01-01MAUREEN L. SINGER
0012013-01-01MAUREEN L. SINGER
0012012-01-01MAUREEN L. SINGER
0012011-01-01MAUREEN L. SINGER
0012010-01-01MAUREEN L. SINGER
0012009-01-01COLIN T. SEVERN

Plan Statistics for WILLIAM LYON HOMES, INC. 401(K) PLAN

401k plan membership statisitcs for WILLIAM LYON HOMES, INC. 401(K) PLAN

Measure Date Value
2020: WILLIAM LYON HOMES, INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-011,082
Total number of active participants reported on line 7a of the Form 55002020-01-010
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-010
Total of all active and inactive participants2020-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-010
Number of participants with account balances2020-01-010
2019: WILLIAM LYON HOMES, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-011,059
Total number of active participants reported on line 7a of the Form 55002019-01-01809
Number of retired or separated participants receiving benefits2019-01-0115
Number of other retired or separated participants entitled to future benefits2019-01-01255
Total of all active and inactive participants2019-01-011,079
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-012
Total participants2019-01-011,081
Number of participants with account balances2019-01-01949
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: WILLIAM LYON HOMES, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01879
Total number of active participants reported on line 7a of the Form 55002018-01-01849
Number of retired or separated participants receiving benefits2018-01-0114
Number of other retired or separated participants entitled to future benefits2018-01-01182
Total of all active and inactive participants2018-01-011,045
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-011
Total participants2018-01-011,046
Number of participants with account balances2018-01-01873
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: WILLIAM LYON HOMES, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01818
Total number of active participants reported on line 7a of the Form 55002017-01-01616
Number of retired or separated participants receiving benefits2017-01-0113
Number of other retired or separated participants entitled to future benefits2017-01-01216
Total of all active and inactive participants2017-01-01845
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-011
Total participants2017-01-01846
Number of participants with account balances2017-01-01628
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: WILLIAM LYON HOMES, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01807
Total number of active participants reported on line 7a of the Form 55002016-01-01581
Number of retired or separated participants receiving benefits2016-01-0123
Number of other retired or separated participants entitled to future benefits2016-01-01203
Total of all active and inactive participants2016-01-01807
Total participants2016-01-01807
Number of participants with account balances2016-01-01610
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: WILLIAM LYON HOMES, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01786
Total number of active participants reported on line 7a of the Form 55002015-01-01572
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01227
Total of all active and inactive participants2015-01-01799
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01799
Number of participants with account balances2015-01-01597
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: WILLIAM LYON HOMES, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01516
Total number of active participants reported on line 7a of the Form 55002014-01-01576
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01201
Total of all active and inactive participants2014-01-01777
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01777
Number of participants with account balances2014-01-01583
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: WILLIAM LYON HOMES, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01382
Total number of active participants reported on line 7a of the Form 55002013-01-01333
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01170
Total of all active and inactive participants2013-01-01503
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01503
Number of participants with account balances2013-01-01382
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: WILLIAM LYON HOMES, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01397
Total number of active participants reported on line 7a of the Form 55002012-01-01186
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01192
Total of all active and inactive participants2012-01-01378
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01378
Number of participants with account balances2012-01-01355
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: WILLIAM LYON HOMES, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01456
Total number of active participants reported on line 7a of the Form 55002011-01-01179
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-01217
Total of all active and inactive participants2011-01-01396
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01396
Number of participants with account balances2011-01-01368
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: WILLIAM LYON HOMES, INC. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01479
Total number of active participants reported on line 7a of the Form 55002010-01-01221
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-01235
Total of all active and inactive participants2010-01-01456
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01456
Number of participants with account balances2010-01-01419
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: WILLIAM LYON HOMES, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01624
Total number of active participants reported on line 7a of the Form 55002009-01-01199
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01279
Total of all active and inactive participants2009-01-01478
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01478
Number of participants with account balances2009-01-01454
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on WILLIAM LYON HOMES, INC. 401(K) PLAN

Measure Date Value
2020 : WILLIAM LYON HOMES, INC. 401(K) PLAN 2020 401k financial data
Total transfer of assets from this plan2020-12-31$75,684,282
Total income from all sources (including contributions)2020-12-31$19,146,102
Total of all expenses incurred2020-12-31$18,687,015
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$18,389,371
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$6,544,959
Value of total assets at end of year2020-12-31$0
Value of total assets at beginning of year2020-12-31$75,225,195
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$297,644
Total interest from all sources2020-12-31$64,592
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2020-12-31$0
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$3,000,000
If this is an individual account plan, was there a blackout period2020-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$5,196,327
Participant contributions at end of year2020-12-31$0
Participant contributions at beginning of year2020-12-31$1,111,314
Participant contributions at end of year2020-12-31$0
Participant contributions at beginning of year2020-12-31$225
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$110,493
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$0
Total non interest bearing cash at end of year2020-12-31$0
Total non interest bearing cash at beginning of year2020-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$459,087
Value of net assets at end of year (total assets less liabilities)2020-12-31$0
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$75,225,195
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$297,644
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$71,112,906
Interest on participant loans2020-12-31$54,171
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2020-12-31$10,421
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$507,294
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$12,536,551
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$1,238,139
Employer contributions (assets) at end of year2020-12-31$0
Employer contributions (assets) at beginning of year2020-12-31$2,493,456
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$18,389,371
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32020-12-31Yes
Did the plan have assets held for investment2020-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31Yes
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31LUCAS, HORSFALL, MURPHY AND PINDROH
Accountancy firm EIN2020-12-31954659692
2019 : WILLIAM LYON HOMES, INC. 401(K) PLAN 2019 401k financial data
Total income from all sources (including contributions)2019-12-31$23,147,231
Total of all expenses incurred2019-12-31$5,807,723
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$5,656,260
Expenses. Certain deemed distributions of participant loans2019-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$10,269,126
Value of total assets at end of year2019-12-31$75,225,195
Value of total assets at beginning of year2019-12-31$57,885,687
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$151,463
Total interest from all sources2019-12-31$61,232
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$0
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$3,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$6,562,406
Participant contributions at end of year2019-12-31$1,111,314
Participant contributions at beginning of year2019-12-31$829,311
Participant contributions at end of year2019-12-31$225
Participant contributions at beginning of year2019-12-31$214
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$1,213,264
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-12-31$0
Other income not declared elsewhere2019-12-31$64,031
Total non interest bearing cash at end of year2019-12-31$0
Total non interest bearing cash at beginning of year2019-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$17,339,508
Value of net assets at end of year (total assets less liabilities)2019-12-31$75,225,195
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$57,885,687
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$71,112,906
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$54,481,607
Interest on participant loans2019-12-31$55,072
Interest earned on other investments2019-12-31$6,160
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$507,294
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$473,331
Expenses. Payments to insurance carriers foe the provision of benefits2019-12-31$0
Net investment gain/loss from pooled separate accounts2019-12-31$12,752,842
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31Yes
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$2,493,456
Employer contributions (assets) at end of year2019-12-31$2,493,456
Employer contributions (assets) at beginning of year2019-12-31$2,101,224
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$5,656,260
Contract administrator fees2019-12-31$151,463
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31LUCAS, HORSFALL, MURPHY AND PINDROH
Accountancy firm EIN2019-12-31954659692
2018 : WILLIAM LYON HOMES, INC. 401(K) PLAN 2018 401k financial data
Total income from all sources (including contributions)2018-12-31$6,508,881
Total of all expenses incurred2018-12-31$7,476,928
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$7,454,460
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$10,661,492
Value of total assets at end of year2018-12-31$57,885,687
Value of total assets at beginning of year2018-12-31$58,853,734
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$22,468
Total interest from all sources2018-12-31$46,900
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$0
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$3,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$5,413,128
Participant contributions at end of year2018-12-31$829,311
Participant contributions at beginning of year2018-12-31$875,874
Participant contributions at end of year2018-12-31$214
Participant contributions at beginning of year2018-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$3,147,140
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$0
Other income not declared elsewhere2018-12-31$94,952
Total non interest bearing cash at end of year2018-12-31$0
Total non interest bearing cash at beginning of year2018-12-31$648
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-968,047
Value of net assets at end of year (total assets less liabilities)2018-12-31$57,885,687
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$58,853,734
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$54,481,607
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$56,283,650
Interest on participant loans2018-12-31$41,896
Interest earned on other investments2018-12-31$5,004
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2018-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$473,331
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$459,249
Expenses. Payments to insurance carriers foe the provision of benefits2018-12-31$0
Net investment gain/loss from pooled separate accounts2018-12-31$-4,294,463
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$2,101,224
Employer contributions (assets) at end of year2018-12-31$2,101,224
Employer contributions (assets) at beginning of year2018-12-31$1,234,313
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$7,454,460
Contract administrator fees2018-12-31$22,468
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31LUCAS, HORSFALL, MURPHY AND PINDROH
Accountancy firm EIN2018-12-31954659692
2017 : WILLIAM LYON HOMES, INC. 401(K) PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$-7,590
Total unrealized appreciation/depreciation of assets2017-12-31$-7,590
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$14,394,059
Total of all expenses incurred2017-12-31$3,702,186
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$3,689,291
Expenses. Certain deemed distributions of participant loans2017-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$5,476,519
Value of total assets at end of year2017-12-31$58,853,734
Value of total assets at beginning of year2017-12-31$48,161,861
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$12,895
Total interest from all sources2017-12-31$40,076
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$0
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$3,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$3,679,347
Participant contributions at end of year2017-12-31$875,874
Participant contributions at beginning of year2017-12-31$840,745
Participant contributions at end of year2017-12-31$0
Participant contributions at beginning of year2017-12-31$165
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$562,859
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$28,969
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2017-12-31$0
Other income not declared elsewhere2017-12-31$86,848
Total non interest bearing cash at end of year2017-12-31$648
Total non interest bearing cash at beginning of year2017-12-31$1,743
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$10,691,873
Value of net assets at end of year (total assets less liabilities)2017-12-31$58,853,734
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$48,161,861
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$56,283,650
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$45,966,366
Interest on participant loans2017-12-31$37,932
Interest earned on other investments2017-12-31$2,144
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$459,249
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$205,598
Expenses. Payments to insurance carriers foe the provision of benefits2017-12-31$0
Net investment gain/loss from pooled separate accounts2017-12-31$8,798,206
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$1,234,313
Employer contributions (assets) at end of year2017-12-31$1,234,313
Employer contributions (assets) at beginning of year2017-12-31$1,118,275
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$3,689,291
Contract administrator fees2017-12-31$12,895
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31ALHSTROM &BAKER CPAS
Accountancy firm EIN2017-12-31330138137
2016 : WILLIAM LYON HOMES, INC. 401(K) PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2016-12-31$236
Total unrealized appreciation/depreciation of assets2016-12-31$236
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$8,344,249
Total of all expenses incurred2016-12-31$5,190,309
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$5,051,213
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$5,069,721
Value of total assets at end of year2016-12-31$48,161,861
Value of total assets at beginning of year2016-12-31$45,007,921
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$139,096
Total interest from all sources2016-12-31$37,364
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$3,395,249
Participant contributions at end of year2016-12-31$840,745
Participant contributions at beginning of year2016-12-31$939,214
Participant contributions at end of year2016-12-31$165
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$556,197
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$28,969
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-12-31$0
Other income not declared elsewhere2016-12-31$167,558
Total non interest bearing cash at end of year2016-12-31$1,743
Total non interest bearing cash at beginning of year2016-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$3,153,940
Value of net assets at end of year (total assets less liabilities)2016-12-31$48,161,861
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$45,007,921
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$45,966,366
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$42,861,187
Interest on participant loans2016-12-31$36,513
Interest earned on other investments2016-12-31$851
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$205,598
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$163,655
Net investment gain/loss from pooled separate accounts2016-12-31$3,069,370
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$1,118,275
Employer contributions (assets) at end of year2016-12-31$1,118,275
Employer contributions (assets) at beginning of year2016-12-31$1,043,865
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$5,051,213
Contract administrator fees2016-12-31$139,096
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31AHLSTROM & BAKER CPAS
Accountancy firm EIN2016-12-31330138137
2015 : WILLIAM LYON HOMES, INC. 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$4,744,380
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$4,906,187
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$4,765,847
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$4,956,393
Value of total assets at end of year2015-12-31$45,007,921
Value of total assets at beginning of year2015-12-31$45,169,728
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$140,340
Total interest from all sources2015-12-31$36,566
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$3,372,862
Participant contributions at end of year2015-12-31$939,214
Participant contributions at beginning of year2015-12-31$702,883
Participant contributions at end of year2015-12-31$0
Participant contributions at beginning of year2015-12-31$422
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$539,666
Total non interest bearing cash at end of year2015-12-31$0
Total non interest bearing cash at beginning of year2015-12-31$6,850
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-161,807
Value of net assets at end of year (total assets less liabilities)2015-12-31$45,007,921
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$45,169,728
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$42,861,187
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$43,634,325
Interest on participant loans2015-12-31$36,072
Interest earned on other investments2015-12-31$494
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$163,655
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$63,626
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$136,807
Net investment gain/loss from pooled separate accounts2015-12-31$-385,386
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$1,043,865
Employer contributions (assets) at end of year2015-12-31$1,043,865
Employer contributions (assets) at beginning of year2015-12-31$761,622
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$4,765,847
Contract administrator fees2015-12-31$140,340
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31AHLSTROM & BAKER CPAS
Accountancy firm EIN2015-12-31330138137
2014 : WILLIAM LYON HOMES, INC. 401(K) PLAN 2014 401k financial data
Total transfer of assets to this plan2014-12-31$3,310,807
Total income from all sources (including contributions)2014-12-31$5,832,237
Total of all expenses incurred2014-12-31$2,604,726
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$2,507,007
Value of total corrective distributions2014-12-31$13,620
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$3,699,752
Value of total assets at end of year2014-12-31$45,169,728
Value of total assets at beginning of year2014-12-31$38,631,410
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$84,099
Total interest from all sources2014-12-31$29,628
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$2,406,023
Participant contributions at end of year2014-12-31$702,883
Participant contributions at beginning of year2014-12-31$680,694
Participant contributions at end of year2014-12-31$422
Participant contributions at beginning of year2014-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$532,107
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$5,910
Total non interest bearing cash at end of year2014-12-31$6,850
Total non interest bearing cash at beginning of year2014-12-31$3,555,842
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$3,227,511
Value of net assets at end of year (total assets less liabilities)2014-12-31$45,169,728
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$38,631,410
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$43,634,325
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$33,806,690
Interest on participant loans2014-12-31$29,134
Interest earned on other investments2014-12-31$494
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$63,626
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$93,423
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$60,184
Net investment gain/loss from pooled separate accounts2014-12-31$2,042,673
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$761,622
Employer contributions (assets) at end of year2014-12-31$761,622
Employer contributions (assets) at beginning of year2014-12-31$488,851
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$2,507,007
Contract administrator fees2014-12-31$84,099
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31AHLSTROM & BAKER CPAS
Accountancy firm EIN2014-12-31330138137
2013 : WILLIAM LYON HOMES, INC. 401(K) PLAN 2013 401k financial data
Total transfer of assets to this plan2013-12-31$3,689,127
Total income from all sources (including contributions)2013-12-31$8,631,753
Total of all expenses incurred2013-12-31$5,099,403
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$5,064,068
Value of total corrective distributions2013-12-31$1,328
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$2,660,444
Value of total assets at end of year2013-12-31$38,631,410
Value of total assets at beginning of year2013-12-31$31,409,933
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$34,007
Total interest from all sources2013-12-31$24,602
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$1,568,893
Participant contributions at end of year2013-12-31$680,694
Participant contributions at beginning of year2013-12-31$622,488
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$602,700
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$5,910
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$0
Administrative expenses (other) incurred2013-12-31$6
Total non interest bearing cash at end of year2013-12-31$3,555,842
Total non interest bearing cash at beginning of year2013-12-31$10
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$3,532,350
Value of net assets at end of year (total assets less liabilities)2013-12-31$38,631,410
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$31,409,933
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$33,806,690
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$30,611,295
Interest on participant loans2013-12-31$23,495
Interest earned on other investments2013-12-31$1,107
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$93,423
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$176,140
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$-1,181
Net investment gain/loss from pooled separate accounts2013-12-31$5,947,888
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$488,851
Employer contributions (assets) at end of year2013-12-31$488,851
Employer contributions (assets) at beginning of year2013-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$5,064,068
Contract administrator fees2013-12-31$34,001
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31AHLSTROM & BAKER CPAS
Accountancy firm EIN2013-12-31330138137
2012 : WILLIAM LYON HOMES, INC. 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$5,185,496
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$3,782,164
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$3,743,938
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,259,949
Value of total assets at end of year2012-12-31$31,409,933
Value of total assets at beginning of year2012-12-31$30,006,601
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$38,226
Total interest from all sources2012-12-31$26,990
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$1,097,056
Participant contributions at end of year2012-12-31$622,488
Participant contributions at beginning of year2012-12-31$639,082
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$162,893
Other income not declared elsewhere2012-12-31$3,438
Administrative expenses (other) incurred2012-12-31$8
Total non interest bearing cash at end of year2012-12-31$10
Total non interest bearing cash at beginning of year2012-12-31$5,642
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$1,403,332
Value of net assets at end of year (total assets less liabilities)2012-12-31$31,409,933
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$30,006,601
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$30,611,295
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$29,153,857
Interest on participant loans2012-12-31$26,990
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$176,140
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$208,020
Net investment gain/loss from pooled separate accounts2012-12-31$3,895,119
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$3,743,938
Contract administrator fees2012-12-31$38,218
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31AHLSTROM & BAKER CPAS
Accountancy firm EIN2012-12-31330138137
2011 : WILLIAM LYON HOMES, INC. 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$140,858
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$5,051,376
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$5,015,705
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,227,812
Value of total assets at end of year2011-12-31$30,006,601
Value of total assets at beginning of year2011-12-31$34,917,119
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$35,671
Total interest from all sources2011-12-31$34,155
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$1,227,503
Participant contributions at end of year2011-12-31$639,082
Participant contributions at beginning of year2011-12-31$722,514
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$309
Other income not declared elsewhere2011-12-31$221
Administrative expenses (other) incurred2011-12-31$450
Total non interest bearing cash at end of year2011-12-31$5,642
Total non interest bearing cash at beginning of year2011-12-31$14,285
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-4,910,518
Value of net assets at end of year (total assets less liabilities)2011-12-31$30,006,601
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$34,917,119
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$29,153,857
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$33,579,001
Interest on participant loans2011-12-31$32,016
Interest earned on other investments2011-12-31$2,139
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$208,020
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$230,335
Net investment gain/loss from pooled separate accounts2011-12-31$-1,121,330
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Employer contributions (assets) at end of year2011-12-31$0
Employer contributions (assets) at beginning of year2011-12-31$370,984
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$5,015,705
Contract administrator fees2011-12-31$35,221
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31AHLSTROM & BAKER CPAS
Accountancy firm EIN2011-12-31330138137
2010 : WILLIAM LYON HOMES, INC. 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$5,959,281
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$3,380,304
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$3,336,349
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,639,234
Value of total assets at end of year2010-12-31$34,917,119
Value of total assets at beginning of year2010-12-31$32,338,142
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$43,955
Total interest from all sources2010-12-31$37,423
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Administrative expenses professional fees incurred2010-12-31$9,514
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$1,227,063
Participant contributions at end of year2010-12-31$722,514
Participant contributions at beginning of year2010-12-31$501,200
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$41,187
Other income not declared elsewhere2010-12-31$-4,073
Administrative expenses (other) incurred2010-12-31$330
Total non interest bearing cash at end of year2010-12-31$14,285
Total non interest bearing cash at beginning of year2010-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$2,578,977
Value of net assets at end of year (total assets less liabilities)2010-12-31$34,917,119
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$32,338,142
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$33,579,001
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$31,552,930
Interest on participant loans2010-12-31$32,623
Interest earned on other investments2010-12-31$4,800
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$16,404
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$16,404
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$230,335
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$267,608
Net investment gain/loss from pooled separate accounts2010-12-31$4,286,697
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$370,984
Employer contributions (assets) at end of year2010-12-31$370,984
Employer contributions (assets) at beginning of year2010-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$3,336,349
Contract administrator fees2010-12-31$34,111
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31AHLSTROM & BAKER CPAS
Accountancy firm EIN2010-12-31330138137
2009 : WILLIAM LYON HOMES, INC. 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for WILLIAM LYON HOMES, INC. 401(K) PLAN

2020: WILLIAM LYON HOMES, INC. 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01This submission is the final filingYes
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: WILLIAM LYON HOMES, INC. 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: WILLIAM LYON HOMES, INC. 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: WILLIAM LYON HOMES, INC. 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: WILLIAM LYON HOMES, INC. 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: WILLIAM LYON HOMES, INC. 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: WILLIAM LYON HOMES, INC. 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedYes
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: WILLIAM LYON HOMES, INC. 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: WILLIAM LYON HOMES, INC. 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: WILLIAM LYON HOMES, INC. 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: WILLIAM LYON HOMES, INC. 401(K) PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: WILLIAM LYON HOMES, INC. 401(K) PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number51074
Policy instance 1
Insurance contract or identification number51074
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $193,414
Total amount of fees paid to insurance companyUSD $18,050
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $157,714
Insurance broker organization code?4
Amount paid for insurance broker fees18050
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number51074
Policy instance 1
Insurance contract or identification number51074
Number of Individuals Covered949
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $198,155
Total amount of fees paid to insurance companyUSD $15,051
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $154,175
Insurance broker organization code?4
Amount paid for insurance broker fees15050
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number51074
Policy instance 1
Insurance contract or identification number51074
Number of Individuals Covered873
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $186,582
Total amount of fees paid to insurance companyUSD $19,813
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $149,840
Insurance broker organization code?4
Amount paid for insurance broker fees19485
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number51074
Policy instance 1
Insurance contract or identification number51074
Number of Individuals Covered628
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $169,128
Total amount of fees paid to insurance companyUSD $10,312
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Commission paid to Insurance BrokerUSD $141,516
Insurance broker organization code?4
Amount paid for insurance broker fees10312
Additional information about fees paid to insurance brokerOTHER ALLOWANCES
Insurance broker nameMORGAN STANLEY INSURANCE SERVICES,
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number51074
Policy instance 1
Insurance contract or identification number51074
Number of Individuals Covered597
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $136,351
Total amount of fees paid to insurance companyUSD $23,131
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $136,351
Insurance broker organization code?4
Amount paid for insurance broker fees23004
Additional information about fees paid to insurance brokerMARKETING ALLOWANCE, SUBSCRIPTIONS, WEBCAST TRAINING
Insurance broker nameT. ROWE PRICE
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number51074
Policy instance 1
Insurance contract or identification number51074
Number of Individuals Covered583
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $107,710
Total amount of fees paid to insurance companyUSD $37,487
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $107,710
Insurance broker organization code?4
Amount paid for insurance broker fees25520
Additional information about fees paid to insurance brokerMARKETING ALLOWANCE, SUBSCRIPTIONS, WEBCAST TRAINING
Insurance broker nameMORGAN STANLEY INSURANCE SERVICES
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number51074
Policy instance 1
Insurance contract or identification number51074
Number of Individuals Covered382
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $86,575
Total amount of fees paid to insurance companyUSD $25,847
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $86,575
Insurance broker organization code?4
Amount paid for insurance broker fees16228
Additional information about fees paid to insurance brokerMARKETING ALLOWANCE, SUBSCRIPTIONS, WEBCAST TRAINING
Insurance broker nameMSSB
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number51074
Policy instance 1
Insurance contract or identification number51074
Number of Individuals Covered335
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $92,283
Total amount of fees paid to insurance companyUSD $15,678
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $92,283
Insurance broker organization code?4
Amount paid for insurance broker fees15678
Additional information about fees paid to insurance brokerMARKETING ALLOWANCE SUBSCRIPTIONS, WEBCAST TRAINING
Insurance broker nameSTRATEGIC PENSION SERVICES, INC.
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number51074
Policy instance 1
Insurance contract or identification number51074
Number of Individuals Covered368
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $101,223
Total amount of fees paid to insurance companyUSD $17,535
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number51074
Policy instance 1
Insurance contract or identification number51074
Number of Individuals Covered419
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $96,644
Total amount of fees paid to insurance companyUSD $25,549
Are there contracts with allocated funds for individual policies?No
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $96,644
Insurance broker organization code?4
Amount paid for insurance broker fees25219
Additional information about fees paid to insurance brokerMARKETING ALLOWANCE LOAN & DISTRIBUTION FEES CONTRACT ADMIN FEES
Insurance broker nameT.ROWE PRICE

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