401k Plan data: THE PIONEER GROUP 401(K) PLAN plan

THE PIONEER GROUP 401(K) PLAN 401k Plan overview

Plan Name	THE PIONEER GROUP 401(K) PLAN
Plan identification number	001

THE PIONEER GROUP 401(K) PLAN Benefits

401k Plan Type

Defined 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

CONINE PUBLICATIONS, INC. D/B/A THE PIONEER GROUP has sponsored the creation of one or more 401k plans.

Company Name: CONINE PUBLICATIONS, INC. D/B/A THE PIONEER GROUP

Employer identification number (EIN): 380439900

NAIC Classification: 511110
NAIC Description: Newspaper Publishers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE PIONEER GROUP 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01
001 2013-01-01
001 2012-01-01 JOHN A. BATDORFF 2013-06-19 JOHN A. BATDORFF 2013-06-19
001 2011-01-01 JOHN A. BATDORFF JOHN A. BATDORFF 2012-10-10
001 2009-01-01 JOHN A. BATDORFF JOHN A. BATDORFF 2010-09-15
001 2009-01-01 JOHN A. BATDORFF

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01
001	2013-01-01
001	2012-01-01	JOHN A. BATDORFF	2013-06-19	JOHN A. BATDORFF	2013-06-19
001	2011-01-01	JOHN A. BATDORFF		JOHN A. BATDORFF	2012-10-10
001	2009-01-01	JOHN A. BATDORFF		JOHN A. BATDORFF	2010-09-15
001	2009-01-01	JOHN A. BATDORFF

Plan Statistics for THE PIONEER GROUP 401(K) PLAN

401k plan membership statisitcs for THE PIONEER GROUP 401(K) PLAN

Measure Date Value
2011: THE PIONEER GROUP 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 101
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 89
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 7
Total of all active and inactive participants 2011-01-01 96
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 96
Number of participants with account balances 2011-01-01 65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: THE PIONEER GROUP 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 108
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 95
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 12
Total of all active and inactive participants 2009-01-01 107
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 107
Number of participants with account balances 2009-01-01 73
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 4

Measure	Date	Value
2011: THE PIONEER GROUP 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	101
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	89
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	7
Total of all active and inactive participants	2011-01-01	96
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	96
Number of participants with account balances	2011-01-01	65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: THE PIONEER GROUP 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	108
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	95
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	12
Total of all active and inactive participants	2009-01-01	107
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	107
Number of participants with account balances	2009-01-01	73
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	4

Financial Data on THE PIONEER GROUP 401(K) PLAN

Measure	Date	Value
2011 : THE PIONEER GROUP 401(K) PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$19,167
Total unrealized appreciation/depreciation of assets	2011-12-31	$19,167
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	$12,086
Total income from all sources (including contributions)	2011-12-31	$95,959
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$338,562
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$333,446
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$126,606
Value of total assets at end of year	2011-12-31	$1,555,944
Value of total assets at beginning of year	2011-12-31	$1,810,633
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$5,116
Total interest from all sources	2011-12-31	$1,459
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 year	2011-12-31	No
Administrative expenses professional fees incurred	2011-12-31	$4,840
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$250,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$126,606
Participant contributions at end of year	2011-12-31	$22,656
Participant contributions at beginning of year	2011-12-31	$19,006
Participant contributions at end of year	2011-12-31	$3,133
Participant contributions at beginning of year	2011-12-31	$8,450
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$224,856
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$197,704
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$12,086
Total non interest bearing cash at end of year	2011-12-31	$1,692
Total non interest bearing cash at beginning of year	2011-12-31	$1,667
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-242,603
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$1,555,944
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$1,798,547
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in pooled separate accounts at end of year	2011-12-31	$1,303,607
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$1,583,806
Interest on participant loans	2011-12-31	$1,459
Net investment gain/loss from pooled separate accounts	2011-12-31	$-51,273
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$333,446
Contract administrator fees	2011-12-31	$276
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	2011-12-31	No
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	REHMANN ACCOUNTING, LLC
Accountancy firm EIN	2011-12-31	383635706
2010 : THE PIONEER GROUP 401(K) PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$2,623
Total unrealized appreciation/depreciation of assets	2010-12-31	$2,623
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$12,086
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$20,636
Total income from all sources (including contributions)	2010-12-31	$318,206
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$107,360
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$87,525
Expenses. Certain deemed distributions of participant loans	2010-12-31	$785
Value of total corrective distributions	2010-12-31	$12,086
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$135,347
Value of total assets at end of year	2010-12-31	$1,810,633
Value of total assets at beginning of year	2010-12-31	$1,608,337
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$6,964
Total interest from all sources	2010-12-31	$1,553
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 year	2010-12-31	No
Administrative expenses professional fees incurred	2010-12-31	$6,652
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$250,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$134,261
Participant contributions at end of year	2010-12-31	$19,006
Participant contributions at beginning of year	2010-12-31	$30,213
Participant contributions at end of year	2010-12-31	$8,450
Participant contributions at beginning of year	2010-12-31	$3,547
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$197,704
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$191,134
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$1,086
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$12,086
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$20,636
Total non interest bearing cash at end of year	2010-12-31	$1,667
Total non interest bearing cash at beginning of year	2010-12-31	$1,073
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$210,846
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$1,798,547
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$1,587,701
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in pooled separate accounts at end of year	2010-12-31	$1,583,806
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$1,382,370
Interest on participant loans	2010-12-31	$1,553
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$0
Net investment gain/loss from pooled separate accounts	2010-12-31	$178,683
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$87,525
Contract administrator fees	2010-12-31	$312
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	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	REHMANN ROBSON
Accountancy firm EIN	2010-12-31	383567911
2009 : THE PIONEER GROUP 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for THE PIONEER GROUP 401(K) PLAN

2011: THE PIONEER GROUP 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: THE PIONEER GROUP 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

58967

Policy instance

Insurance contract or identification number	58967
Number of Individuals Covered	112
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $3,850
Total amount of fees paid to insurance company	USD $5,673
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 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?	No
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

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

58967

Policy instance

Insurance contract or identification number	58967
Number of Individuals Covered	116
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $3,592
Total amount of fees paid to insurance company	USD $7,371
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 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?	No
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
Amount paid for insurance broker fees	6652
Additional information about fees paid to insurance broker	TPA FEES
Insurance broker organization code?	5
Commission paid to Insurance Broker	USD $3,592
Insurance broker name	PENSION INNOVATIONS & CONSULTING

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Company Name:	CONINE PUBLICATIONS, INC. D/B/A THE PIONEER GROUP
Employer identification number (EIN):	380439900
NAIC Classification:	511110
NAIC Description:	Newspaper Publishers