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EMPIRE STATE REALTY TRUST 401(K) PLAN 401k Plan overview

Plan NameEMPIRE STATE REALTY TRUST 401(K) PLAN
Plan identification number 001

EMPIRE STATE REALTY TRUST 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.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • 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

EMPIRE STATE REALTY OP, L.P. has sponsored the creation of one or more 401k plans.

Company Name:EMPIRE STATE REALTY OP, L.P.
Employer identification number (EIN):454685158
NAIC Classification:531310

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EMPIRE STATE REALTY TRUST 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012023-01-01
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01CYNTHIA YODICE
0012017-01-01MARION BOYD
0012016-01-01CYNTHIA YODICE
0012015-01-01CYNTHIA YODICE
0012014-01-01CYNTHIA YODICE
0012013-01-01CYNTHIA YODICE

Plan Statistics for EMPIRE STATE REALTY TRUST 401(K) PLAN

401k plan membership statisitcs for EMPIRE STATE REALTY TRUST 401(K) PLAN

Measure Date Value
2023: EMPIRE STATE REALTY TRUST 401(K) PLAN 2023 401k membership
Total participants, beginning-of-year2023-01-01357
Total number of active participants reported on line 7a of the Form 55002023-01-01226
Number of retired or separated participants receiving benefits2023-01-010
Number of other retired or separated participants entitled to future benefits2023-01-01100
Total of all active and inactive participants2023-01-01326
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-011
Total participants2023-01-01327
Number of participants with account balances2023-01-01315
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-0126
2022: EMPIRE STATE REALTY TRUST 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01336
Total number of active participants reported on line 7a of the Form 55002022-01-01220
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-01103
Total of all active and inactive participants2022-01-01323
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01323
Number of participants with account balances2022-01-01306
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-0118
2021: EMPIRE STATE REALTY TRUST 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01370
Total number of active participants reported on line 7a of the Form 55002021-01-01229
Number of retired or separated participants receiving benefits2021-01-012
Number of other retired or separated participants entitled to future benefits2021-01-0190
Total of all active and inactive participants2021-01-01321
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01321
Number of participants with account balances2021-01-01291
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-0119
2020: EMPIRE STATE REALTY TRUST 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01405
Total number of active participants reported on line 7a of the Form 55002020-01-01252
Number of retired or separated participants receiving benefits2020-01-011
Number of other retired or separated participants entitled to future benefits2020-01-01117
Total of all active and inactive participants2020-01-01370
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01370
Number of participants with account balances2020-01-01351
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0133
2019: EMPIRE STATE REALTY TRUST 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01331
Total number of active participants reported on line 7a of the Form 55002019-01-01263
Number of retired or separated participants receiving benefits2019-01-012
Number of other retired or separated participants entitled to future benefits2019-01-01131
Total of all active and inactive participants2019-01-01396
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01396
Number of participants with account balances2019-01-01365
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-013
2018: EMPIRE STATE REALTY TRUST 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01376
Total number of active participants reported on line 7a of the Form 55002018-01-01223
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-01137
Total of all active and inactive participants2018-01-01360
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01360
Number of participants with account balances2018-01-01313
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0115
2017: EMPIRE STATE REALTY TRUST 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01355
Total number of active participants reported on line 7a of the Form 55002017-01-01239
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-01129
Total of all active and inactive participants2017-01-01368
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01368
Number of participants with account balances2017-01-01305
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-017
2016: EMPIRE STATE REALTY TRUST 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01360
Total number of active participants reported on line 7a of the Form 55002016-01-01229
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-01126
Total of all active and inactive participants2016-01-01355
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01355
Number of participants with account balances2016-01-01299
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-016
2015: EMPIRE STATE REALTY TRUST 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01361
Total number of active participants reported on line 7a of the Form 55002015-01-01234
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01130
Total of all active and inactive participants2015-01-01364
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01364
Number of participants with account balances2015-01-01293
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0119
2014: EMPIRE STATE REALTY TRUST 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01311
Total number of active participants reported on line 7a of the Form 55002014-01-01261
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01112
Total of all active and inactive participants2014-01-01373
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01373
Number of participants with account balances2014-01-01285
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0121
2013: EMPIRE STATE REALTY TRUST 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01131
Total number of active participants reported on line 7a of the Form 55002013-01-01177
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01103
Total of all active and inactive participants2013-01-01280
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01280
Number of participants with account balances2013-01-01235
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-011

Financial Data on EMPIRE STATE REALTY TRUST 401(K) PLAN

Measure Date Value
2023 : EMPIRE STATE REALTY TRUST 401(K) PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets2023-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total income from all sources (including contributions)2023-12-31$10,439,981
Total loss/gain on sale of assets2023-12-31$0
Total of all expenses incurred2023-12-31$3,260,620
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$3,187,753
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$4,050,342
Value of total assets at end of year2023-12-31$37,825,148
Value of total assets at beginning of year2023-12-31$30,645,787
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$72,867
Total interest from all sources2023-12-31$51,640
Total dividends received (eg from common stock, registered investment company shares)2023-12-31$526,773
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2023-12-31$526,773
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$10,000,000
If this is an individual account plan, was there a blackout period2023-12-31No
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Contributions received from participants2023-12-31$2,351,295
Participant contributions at end of year2023-12-31$394,386
Participant contributions at beginning of year2023-12-31$378,563
Assets. Other investments not covered elsewhere at end of year2023-12-31$2,460,116
Assets. Other investments not covered elsewhere at beginning of year2023-12-31$2,005,090
Income. Received or receivable in cash from other sources (including rollovers)2023-12-31$330,265
Other income not declared elsewhere2023-12-31$474,929
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$7,179,361
Value of net assets at end of year (total assets less liabilities)2023-12-31$37,825,148
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$30,645,787
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Investment advisory and management fees2023-12-31$30,379
Value of interest in registered invesment companies (eg mutual funds) at end of year2023-12-31$27,527,266
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2023-12-31$21,863,214
Value of interest in pooled separate accounts at end of year2023-12-31$6,184,514
Value of interest in pooled separate accounts at beginning of year2023-12-31$4,782,541
Interest on participant loans2023-12-31$23,175
Interest earned on other investments2023-12-31$28,465
Value of interest in common/collective trusts at beginning of year2023-12-31$1,616,379
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2023-12-31$1,258,866
Net investment gain/loss from registered investment companies (e.g. mutual funds)2023-12-31$3,411,879
Net investment gain/loss from pooled separate accounts2023-12-31$1,767,330
Net investment gain or loss from common/collective trusts2023-12-31$157,088
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31No
Was there a failure to transmit to the plan any participant contributions2023-12-31No
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Contributions received in cash from employer2023-12-31$1,368,782
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$3,187,753
Contract administrator fees2023-12-31$42,488
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31ARMANINO LLP
Accountancy firm EIN2023-12-31946214841
2022 : EMPIRE STATE REALTY TRUST 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-2,623,276
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$1,579,503
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$1,534,608
Expenses. Certain deemed distributions of participant loans2022-12-31$12,285
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$3,682,635
Value of total assets at end of year2022-12-31$30,645,787
Value of total assets at beginning of year2022-12-31$34,848,566
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$32,610
Total interest from all sources2022-12-31$16,543
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$508,297
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$508,297
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$10,000,000
If this is an individual account plan, was there a blackout period2022-12-31Yes
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$1,945,048
Participant contributions at end of year2022-12-31$378,563
Participant contributions at beginning of year2022-12-31$295,201
Assets. Other investments not covered elsewhere at end of year2022-12-31$2,005,090
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$2,341,267
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$528,213
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2022-12-31$120
Other income not declared elsewhere2022-12-31$-149,133
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-4,202,779
Value of net assets at end of year (total assets less liabilities)2022-12-31$30,645,787
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$34,848,566
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$6,944
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$21,863,214
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$30,226,732
Value of interest in pooled separate accounts at end of year2022-12-31$4,782,541
Interest on participant loans2022-12-31$16,543
Value of interest in common/collective trusts at end of year2022-12-31$1,616,379
Value of interest in common/collective trusts at beginning of year2022-12-31$1,985,366
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-6,167,618
Net investment gain/loss from pooled separate accounts2022-12-31$-398,329
Net investment gain or loss from common/collective trusts2022-12-31$-115,671
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$1,209,374
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$1,534,488
Contract administrator fees2022-12-31$25,666
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32022-12-31Yes
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31ARMANINO LLP
Accountancy firm EIN2022-12-31946214841
2021 : EMPIRE STATE REALTY TRUST 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total transfer of assets to this plan2021-12-31$0
Total transfer of assets from this plan2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$6,633,254
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$2,488,299
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$2,477,240
Expenses. Certain deemed distributions of participant loans2021-12-31$1,269
Value of total corrective distributions2021-12-31$1,938
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$1,998,892
Value of total assets at end of year2021-12-31$34,848,566
Value of total assets at beginning of year2021-12-31$30,703,611
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$7,852
Total interest from all sources2021-12-31$12,123
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$1,065,069
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$1,065,069
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$1,775,388
Participant contributions at end of year2021-12-31$295,201
Participant contributions at beginning of year2021-12-31$233,378
Assets. Other investments not covered elsewhere at end of year2021-12-31$2,341,267
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$2,124,162
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$30,667
Other income not declared elsewhere2021-12-31$295,173
Administrative expenses (other) incurred2021-12-31$7,852
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$4,144,955
Value of net assets at end of year (total assets less liabilities)2021-12-31$34,848,566
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$30,703,611
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$30,226,732
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$26,211,307
Interest on participant loans2021-12-31$12,123
Value of interest in common/collective trusts at end of year2021-12-31$1,985,366
Value of interest in common/collective trusts at beginning of year2021-12-31$2,134,764
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$3,233,928
Net investment gain or loss from common/collective trusts2021-12-31$28,069
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$192,837
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$2,477,240
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31MAYER HOFFMAN MCCANN CPAS
Accountancy firm EIN2021-12-31431947695
2020 : EMPIRE STATE REALTY TRUST 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total transfer of assets to this plan2020-12-31$14,657
Total transfer of assets from this plan2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$6,234,885
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$3,888,081
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$3,763,782
Expenses. Certain deemed distributions of participant loans2020-12-31$113,080
Value of total corrective distributions2020-12-31$2,968
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$1,974,272
Value of total assets at end of year2020-12-31$30,703,611
Value of total assets at beginning of year2020-12-31$28,342,150
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$8,251
Total interest from all sources2020-12-31$11,805
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$704,400
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$704,400
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
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$1,758,228
Participant contributions at end of year2020-12-31$233,378
Participant contributions at beginning of year2020-12-31$339,275
Assets. Other investments not covered elsewhere at end of year2020-12-31$2,124,162
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$1,959,358
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$50,456
Other income not declared elsewhere2020-12-31$137,719
Administrative expenses (other) incurred2020-12-31$8,251
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$2,346,804
Value of net assets at end of year (total assets less liabilities)2020-12-31$30,703,611
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$28,342,150
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$26,211,307
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$24,404,164
Interest on participant loans2020-12-31$11,805
Value of interest in common/collective trusts at end of year2020-12-31$2,134,764
Value of interest in common/collective trusts at beginning of year2020-12-31$75,041
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$1,510,978
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$3,390,626
Net investment gain or loss from common/collective trusts2020-12-31$16,063
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$165,588
Employer contributions (assets) at beginning of year2020-12-31$53,334
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$3,763,782
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31MARKS PANETH LLP
Accountancy firm EIN2020-12-31113518842
2019 : EMPIRE STATE REALTY TRUST 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total transfer of assets from this plan2019-12-31$0
Total transfer of assets from this plan2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$7,194,482
Total income from all sources (including contributions)2019-12-31$7,194,482
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$2,516,680
Total of all expenses incurred2019-12-31$2,516,680
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$2,502,876
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$2,502,876
Expenses. Certain deemed distributions of participant loans2019-12-31$103
Expenses. Certain deemed distributions of participant loans2019-12-31$103
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$1,905,527
Value of total assets at end of year2019-12-31$28,342,150
Value of total assets at end of year2019-12-31$28,342,150
Value of total assets at beginning of year2019-12-31$23,664,348
Value of total assets at beginning of year2019-12-31$23,664,348
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$13,701
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$13,701
Total interest from all sources2019-12-31$29,326
Total interest from all sources2019-12-31$29,326
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$854,064
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$854,064
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
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$854,064
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$854,064
Administrative expenses professional fees incurred2019-12-31$12,621
Administrative expenses professional fees incurred2019-12-31$12,621
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31Yes
If this is an individual account plan, was there a blackout period2019-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$1,620,973
Contributions received from participants2019-12-31$1,620,973
Participant contributions at end of year2019-12-31$339,275
Participant contributions at end of year2019-12-31$339,275
Participant contributions at beginning of year2019-12-31$234,038
Participant contributions at beginning of year2019-12-31$234,038
Participant contributions at beginning of year2019-12-31$4,343
Participant contributions at beginning of year2019-12-31$4,343
Assets. Other investments not covered elsewhere at end of year2019-12-31$1,959,358
Assets. Other investments not covered elsewhere at end of year2019-12-31$1,959,358
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$21,334
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$21,334
Other income not declared elsewhere2019-12-31$326,796
Other income not declared elsewhere2019-12-31$326,796
Administrative expenses (other) incurred2019-12-31$1,080
Administrative expenses (other) incurred2019-12-31$1,080
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$4,677,802
Value of net income/loss2019-12-31$4,677,802
Value of net assets at end of year (total assets less liabilities)2019-12-31$28,342,150
Value of net assets at end of year (total assets less liabilities)2019-12-31$28,342,150
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$23,664,348
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$23,664,348
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
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 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
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$24,404,164
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$24,404,164
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$21,673,222
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$21,673,222
Interest on participant loans2019-12-31$9,623
Interest earned on other investments2019-12-31$19,703
Interest earned on other investments2019-12-31$19,703
Value of interest in common/collective trusts at end of year2019-12-31$75,041
Value of interest in common/collective trusts at end of year2019-12-31$75,041
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$1,510,978
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$1,510,978
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$1,671,490
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$1,671,490
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$4,078,526
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$4,078,526
Net investment gain or loss from common/collective trusts2019-12-31$243
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
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 contributions2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$263,220
Contributions received in cash from employer2019-12-31$263,220
Employer contributions (assets) at end of year2019-12-31$53,334
Employer contributions (assets) at end of year2019-12-31$53,334
Employer contributions (assets) at beginning of year2019-12-31$81,255
Employer contributions (assets) at beginning of year2019-12-31$81,255
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$2,502,876
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$2,502,876
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32019-12-31Yes
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32019-12-31Yes
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31MARKS PANETH LLP
Accountancy firm name2019-12-31MARKS PANETH LLP
Accountancy firm EIN2019-12-31113518842
Accountancy firm EIN2019-12-31113518842
2018 : EMPIRE STATE REALTY TRUST 401(K) PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2018-12-31$-123,751
Total unrealized appreciation/depreciation of assets2018-12-31$-123,751
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$321,161
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$1,961,939
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$1,943,455
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$1,898,708
Value of total assets at end of year2018-12-31$23,664,348
Value of total assets at beginning of year2018-12-31$25,305,126
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$18,484
Total interest from all sources2018-12-31$27,233
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$1,637,245
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$1,572,675
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
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$1,574,178
Participant contributions at end of year2018-12-31$234,038
Participant contributions at beginning of year2018-12-31$232,203
Participant contributions at end of year2018-12-31$4,343
Participant contributions at beginning of year2018-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$51,928
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-1,640,778
Value of net assets at end of year (total assets less liabilities)2018-12-31$23,664,348
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$25,305,126
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$21,673,222
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$23,114,213
Interest on participant loans2018-12-31$8,687
Interest earned on other investments2018-12-31$18,546
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$1,671,490
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$1,920,933
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-3,118,274
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 contributions2018-12-31Yes
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$272,602
Employer contributions (assets) at end of year2018-12-31$81,255
Employer contributions (assets) at beginning of year2018-12-31$37,777
Income. Dividends from preferred stock2018-12-31$119
Income. Dividends from common stock2018-12-31$64,451
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$1,943,455
Contract administrator fees2018-12-31$18,484
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 name2018-12-31MARKS PANETH LLP
Accountancy firm EIN2018-12-31113518842
2017 : EMPIRE STATE REALTY TRUST 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
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$5,718,126
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$1,182,005
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$1,077,818
Value of total corrective distributions2017-12-31$101,247
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$1,732,395
Value of total assets at end of year2017-12-31$25,267,429
Value of total assets at beginning of year2017-12-31$20,731,308
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$2,940
Total interest from all sources2017-12-31$30,786
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$1,260,098
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$1,194,036
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$1,414,685
Participant contributions at end of year2017-12-31$232,203
Participant contributions at beginning of year2017-12-31$190,963
Participant contributions at end of year2017-12-31$0
Participant contributions at beginning of year2017-12-31$23,929
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$97,992
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2017-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2017-12-31$0
Other income not declared elsewhere2017-12-31$113
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$4,536,121
Value of net assets at end of year (total assets less liabilities)2017-12-31$25,267,429
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$20,731,308
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$23,114,213
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$18,697,730
Interest on participant loans2017-12-31$9,694
Interest earned on other investments2017-12-31$21,092
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$1,920,933
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$1,817,879
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$2,694,734
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$219,718
Employer contributions (assets) at end of year2017-12-31$80
Employer contributions (assets) at beginning of year2017-12-31$807
Income. Dividends from common stock2017-12-31$66,062
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$1,077,818
Contract administrator fees2017-12-31$2,940
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 name2017-12-31MARKS PANETH LLP
Accountancy firm EIN2017-12-31113518842
2016 : EMPIRE STATE REALTY TRUST 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
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$340
Total income from all sources (including contributions)2016-12-31$2,851,009
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$2,234,884
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$2,136,424
Value of total corrective distributions2016-12-31$96,694
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$1,592,601
Value of total assets at end of year2016-12-31$20,731,308
Value of total assets at beginning of year2016-12-31$20,115,523
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$1,766
Total interest from all sources2016-12-31$29,047
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$719,844
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$674,894
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$1,313,148
Participant contributions at end of year2016-12-31$190,963
Participant contributions at beginning of year2016-12-31$134,561
Participant contributions at end of year2016-12-31$23,929
Participant contributions at beginning of year2016-12-31$5,231
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$75,403
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$340
Other income not declared elsewhere2016-12-31$8,951
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$616,125
Value of net assets at end of year (total assets less liabilities)2016-12-31$20,731,308
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$20,115,183
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$18,697,730
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$17,512,182
Interest on participant loans2016-12-31$5,361
Interest earned on other investments2016-12-31$23,686
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$1,817,879
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$2,463,206
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$500,566
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 contributions2016-12-31Yes
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$204,050
Employer contributions (assets) at end of year2016-12-31$807
Employer contributions (assets) at beginning of year2016-12-31$343
Income. Dividends from common stock2016-12-31$44,950
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$2,136,424
Contract administrator fees2016-12-31$1,766
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 name2016-12-31MARKS PANETH LLP
Accountancy firm EIN2016-12-31113518842
2015 : EMPIRE STATE REALTY TRUST 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$340
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$2,337
Total income from all sources (including contributions)2015-12-31$1,525,118
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$1,907,895
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,889,266
Expenses. Certain deemed distributions of participant loans2015-12-31$15,364
Value of total corrective distributions2015-12-31$30
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$1,521,456
Value of total assets at end of year2015-12-31$20,115,523
Value of total assets at beginning of year2015-12-31$20,500,297
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$3,235
Total interest from all sources2015-12-31$31,842
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$796,091
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$744,576
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$1,274,549
Participant contributions at end of year2015-12-31$134,561
Participant contributions at beginning of year2015-12-31$209,328
Participant contributions at end of year2015-12-31$5,231
Participant contributions at beginning of year2015-12-31$34,522
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$28,431
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2015-12-31$4,942
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$340
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$2,337
Other income not declared elsewhere2015-12-31$12,394
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-382,777
Value of net assets at end of year (total assets less liabilities)2015-12-31$20,115,183
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$20,497,960
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$17,512,182
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$18,200,691
Value of interest in pooled separate accounts at end of year2015-12-31$0
Value of interest in pooled separate accounts at beginning of year2015-12-31$0
Interest on participant loans2015-12-31$6,811
Interest earned on other investments2015-12-31$25,031
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$2,463,206
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$2,054,506
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-836,665
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$218,476
Employer contributions (assets) at end of year2015-12-31$343
Employer contributions (assets) at beginning of year2015-12-31$1,250
Income. Dividends from common stock2015-12-31$51,515
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,884,324
Contract administrator fees2015-12-31$3,235
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 name2015-12-31MARKS PANETH LLP
Accountancy firm EIN2015-12-31113518842
2014 : EMPIRE STATE REALTY TRUST 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total transfer of assets to this plan2014-12-31$32,263
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$2,337
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$2,653,944
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$3,247,222
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$3,231,210
Expenses. Certain deemed distributions of participant loans2014-12-31$12,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$1,630,117
Value of total assets at end of year2014-12-31$20,500,297
Value of total assets at beginning of year2014-12-31$21,058,975
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$4,012
Total interest from all sources2014-12-31$34,647
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$834,541
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$793,020
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$1,235,925
Participant contributions at end of year2014-12-31$209,328
Participant contributions at beginning of year2014-12-31$241,001
Participant contributions at end of year2014-12-31$34,522
Participant contributions at beginning of year2014-12-31$1,274
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$176,594
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$10,962,722
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$2,337
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$0
Other income not declared elsewhere2014-12-31$14,739
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-593,278
Value of net assets at end of year (total assets less liabilities)2014-12-31$20,497,960
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$21,058,975
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$18,200,691
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$8,575,713
Value of interest in pooled separate accounts at end of year2014-12-31$0
Value of interest in pooled separate accounts at beginning of year2014-12-31$0
Interest on participant loans2014-12-31$9,377
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$25,270
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$2,054,506
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$1,276,236
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$139,900
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$217,598
Employer contributions (assets) at end of year2014-12-31$1,250
Employer contributions (assets) at beginning of year2014-12-31$2,029
Income. Dividends from common stock2014-12-31$41,521
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$3,231,210
Contract administrator fees2014-12-31$4,012
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 name2014-12-31MARKS PANETH LLP
Accountancy firm EIN2014-12-31113518842
2013 : EMPIRE STATE REALTY TRUST 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total transfer of assets to this plan2013-12-31$10,962,722
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$2,560,420
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$799,580
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$791,719
Expenses. Certain deemed distributions of participant loans2013-12-31$3,157
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$735,630
Value of total assets at end of year2013-12-31$21,058,975
Value of total assets at beginning of year2013-12-31$8,335,413
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$4,704
Total interest from all sources2013-12-31$353,361
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$338,580
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$642,880
Participant contributions at end of year2013-12-31$241,001
Participant contributions at beginning of year2013-12-31$153,865
Participant contributions at end of year2013-12-31$1,274
Participant contributions at beginning of year2013-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$1,342
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$10,962,722
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$1,760,840
Value of net assets at end of year (total assets less liabilities)2013-12-31$21,058,975
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$8,335,413
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$8,575,713
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$0
Value of interest in pooled separate accounts at end of year2013-12-31$19,538,435
Value of interest in pooled separate accounts at beginning of year2013-12-31$7,886,457
Interest on participant loans2013-12-31$5,605
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$347,756
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$1,276,236
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$295,091
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$1,438,533
Net investment gain/loss from pooled separate accounts2013-12-31$1,471,429
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$91,408
Employer contributions (assets) at end of year2013-12-31$2,029
Employer contributions (assets) at beginning of year2013-12-31$0
Income. Dividends from common stock2013-12-31$32,884
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$791,719
Contract administrator fees2013-12-31$4,704
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 name2013-12-31MARKS PANETH & SHRON, LLP
Accountancy firm EIN2013-12-31113518842

Form 5500 Responses for EMPIRE STATE REALTY TRUST 401(K) PLAN

2023: EMPIRE STATE REALTY TRUST 401(K) PLAN 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01This submission is the final filingNo
2023-01-01This return/report is a short plan year return/report (less than 12 months)No
2023-01-01Plan is a collectively bargained planNo
2023-01-01Plan funding arrangement – InsuranceYes
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement – InsuranceYes
2023-01-01Plan benefit arrangement - TrustYes
2022: EMPIRE STATE REALTY TRUST 401(K) PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: EMPIRE STATE REALTY TRUST 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: EMPIRE STATE REALTY TRUST 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
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: EMPIRE STATE REALTY TRUST 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
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: EMPIRE STATE REALTY TRUST 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
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: EMPIRE STATE REALTY TRUST 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
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: EMPIRE STATE REALTY TRUST 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
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: EMPIRE STATE REALTY TRUST 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: EMPIRE STATE REALTY TRUST 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
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: EMPIRE STATE REALTY TRUST 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedYes
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number633481
Policy instance 2
Insurance contract or identification number633481
Number of Individuals Covered327
Insurance policy start date2023-01-01
Insurance policy end date2023-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered327
Insurance policy start date2023-01-01
Insurance policy end date2023-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
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
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number633481
Policy instance 1
Insurance contract or identification number633481
Number of Individuals Covered323
Insurance policy start date2022-06-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number92149-01
Policy instance 1
Insurance contract or identification number92149-01
Number of Individuals Covered0
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?No
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
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number92149-01
Policy instance 1
Insurance contract or identification number92149-01
Number of Individuals Covered87
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?No
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
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number92149-01
Policy instance 1
Insurance contract or identification number92149-01
Number of Individuals Covered87
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $4,592
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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 $3,259
Insurance broker organization code?3
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number92149-01
Policy instance 1
Insurance contract or identification number92149-01
Number of Individuals Covered87
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $4,322
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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 $3,076
Insurance broker organization code?3
Insurance broker nameALLEN SAUNDERS
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number92149-01
Policy instance 1
Insurance contract or identification number92149-01
Number of Individuals Covered84
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $6,384
Total amount of fees paid to insurance companyUSD $0
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 $4,445
Insurance broker organization code?3
Insurance broker nameWILLIAM PROFFITT
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number92149-01
Policy instance 1
Insurance contract or identification number92149-01
Number of Individuals Covered84
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $5,101
Total amount of fees paid to insurance companyUSD $0
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 $3,420
Insurance broker organization code?3
Insurance broker nameWILLIAM PROFFITT
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number92149-01
Policy instance 1
Insurance contract or identification number92149-01
Number of Individuals Covered55
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $2,529
Total amount of fees paid to insurance companyUSD $0
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 $1,438
Insurance broker organization code?3
Insurance broker nameWILLIAM PROFFITT

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