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SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 401k Plan overview

Plan NameSHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN
Plan identification number 001

SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

SHAPIRO & DUNCAN, INC. has sponsored the creation of one or more 401k plans.

Company Name:SHAPIRO & DUNCAN, INC.
Employer identification number (EIN):521069819
NAIC Classification:238220
NAIC Description:Plumbing, Heating, and Air-Conditioning Contractors

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SHAPIRO & DUNCAN, INC. EMPLOYEE 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
0012017-01-01KIRSTY L MASTRONI
0012016-01-01SHELDON SHAPIRO
0012015-01-01SHELDON SHAPIRO SHELDON SHAPIRO2016-10-07
0012014-01-01SHELDON SHAPIRO SHELDON SHAPIRO2015-10-08
0012013-01-01SHELDON SHAPIRO SHELDON SHAPIRO2014-10-09
0012012-01-01SHELDON SHAPIRO SHELDON SHAPIRO2013-10-03
0012011-01-01WESLEY GEOFFREY PHILLIPS SHELDON J SHAPIRO2012-10-08
0012009-01-01WESLEY GEOFFREY PHILLIPS SHELDON SHAPIRO2010-10-05

Plan Statistics for SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN

401k plan membership statisitcs for SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN

Measure Date Value
2023: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2023 401k membership
Total participants, beginning-of-year2023-01-01414
Total number of active participants reported on line 7a of the Form 55002023-01-01356
Number of retired or separated participants receiving benefits2023-01-016
Number of other retired or separated participants entitled to future benefits2023-01-0174
Total of all active and inactive participants2023-01-01436
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-010
Total participants2023-01-01436
Number of participants with account balances2023-01-01421
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-0122
2022: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01414
Total number of active participants reported on line 7a of the Form 55002022-01-01338
Number of retired or separated participants receiving benefits2022-01-012
Number of other retired or separated participants entitled to future benefits2022-01-0174
Total of all active and inactive participants2022-01-01414
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01414
Number of participants with account balances2022-01-01414
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-014
2021: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01416
Total number of active participants reported on line 7a of the Form 55002021-01-01336
Number of retired or separated participants receiving benefits2021-01-012
Number of other retired or separated participants entitled to future benefits2021-01-0176
Total of all active and inactive participants2021-01-01414
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01414
Number of participants with account balances2021-01-01414
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-016
2020: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01431
Total number of active participants reported on line 7a of the Form 55002020-01-01345
Number of retired or separated participants receiving benefits2020-01-012
Number of other retired or separated participants entitled to future benefits2020-01-0169
Total of all active and inactive participants2020-01-01416
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01416
Number of participants with account balances2020-01-01413
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0114
2019: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01446
Total number of active participants reported on line 7a of the Form 55002019-01-01364
Number of retired or separated participants receiving benefits2019-01-011
Number of other retired or separated participants entitled to future benefits2019-01-0166
Total of all active and inactive participants2019-01-01431
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01431
Number of participants with account balances2019-01-01431
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-014
2018: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01433
Total number of active participants reported on line 7a of the Form 55002018-01-01370
Number of retired or separated participants receiving benefits2018-01-011
Number of other retired or separated participants entitled to future benefits2018-01-0175
Total of all active and inactive participants2018-01-01446
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01446
Number of participants with account balances2018-01-01446
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0114
2017: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01395
Total number of active participants reported on line 7a of the Form 55002017-01-01366
Number of retired or separated participants receiving benefits2017-01-011
Number of other retired or separated participants entitled to future benefits2017-01-0166
Total of all active and inactive participants2017-01-01433
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01433
Number of participants with account balances2017-01-01433
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0112
2016: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01403
Total number of active participants reported on line 7a of the Form 55002016-01-01340
Number of retired or separated participants receiving benefits2016-01-011
Number of other retired or separated participants entitled to future benefits2016-01-0154
Total of all active and inactive participants2016-01-01395
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01395
Number of participants with account balances2016-01-01385
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-016
2015: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01389
Total number of active participants reported on line 7a of the Form 55002015-01-01345
Number of retired or separated participants receiving benefits2015-01-011
Number of other retired or separated participants entitled to future benefits2015-01-0154
Total of all active and inactive participants2015-01-01400
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01400
Number of participants with account balances2015-01-01386
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0114
2014: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01362
Total number of active participants reported on line 7a of the Form 55002014-01-01345
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0137
Total of all active and inactive participants2014-01-01382
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01382
Number of participants with account balances2014-01-01372
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0118
2013: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01333
Total number of active participants reported on line 7a of the Form 55002013-01-01320
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0134
Total of all active and inactive participants2013-01-01354
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01354
Number of participants with account balances2013-01-01336
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0121
2012: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01322
Total number of active participants reported on line 7a of the Form 55002012-01-01299
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0133
Total of all active and inactive participants2012-01-01332
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01332
Number of participants with account balances2012-01-01308
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0121
2011: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01373
Total number of active participants reported on line 7a of the Form 55002011-01-01259
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0163
Total of all active and inactive participants2011-01-01322
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01322
Number of participants with account balances2011-01-01292
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-01112
2009: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01352
Total number of active participants reported on line 7a of the Form 55002009-01-01234
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0128
Total of all active and inactive participants2009-01-01262
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01262
Number of participants with account balances2009-01-01230
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0151

Financial Data on SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN

Measure Date Value
2022 : SHAPIRO & DUNCAN, INC. EMPLOYEE 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$0
Total income from all sources (including contributions)2022-12-31$-925,067
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$1,858,268
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$1,673,255
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$5,307,954
Value of total assets at end of year2022-12-31$38,836,150
Value of total assets at beginning of year2022-12-31$41,619,485
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$185,013
Total interest from all sources2022-12-31$199,876
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$337,945
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$337,945
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$2,395,211
Participant contributions at end of year2022-12-31$1,544,837
Participant contributions at beginning of year2022-12-31$1,338,969
Other income not declared elsewhere2022-12-31$74,296
Administrative expenses (other) incurred2022-12-31$1,025
Total non interest bearing cash at end of year2022-12-31$14
Total non interest bearing cash at beginning of year2022-12-31$92
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-2,783,335
Value of net assets at end of year (total assets less liabilities)2022-12-31$38,836,150
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$41,619,485
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$55,000
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$17,230,087
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$18,762,285
Value of interest in pooled separate accounts at end of year2022-12-31$7,037,383
Value of interest in pooled separate accounts at beginning of year2022-12-31$8,920,674
Interest on participant loans2022-12-31$67,802
Interest earned on other investments2022-12-31$132,074
Value of interest in common/collective trusts at end of year2022-12-31$4,499,161
Value of interest in common/collective trusts at beginning of year2022-12-31$5,216,568
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$8,524,668
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$7,380,897
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-2,308,744
Net investment gain/loss from pooled separate accounts2022-12-31$-3,166,364
Net investment gain or loss from common/collective trusts2022-12-31$-1,370,030
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$2,912,743
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$1,673,255
Contract administrator fees2022-12-31$128,988
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 name2022-12-31COHNREZNICK LLP
Accountancy firm EIN2022-12-31221478099
2021 : SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$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$8,474,842
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$3,620,439
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$3,400,823
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$3,905,691
Value of total assets at end of year2021-12-31$41,619,485
Value of total assets at beginning of year2021-12-31$36,765,082
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$219,616
Total interest from all sources2021-12-31$179,170
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$283,269
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$283,269
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$2,134,960
Participant contributions at end of year2021-12-31$1,338,969
Participant contributions at beginning of year2021-12-31$1,028,190
Other income not declared elsewhere2021-12-31$72,668
Administrative expenses (other) incurred2021-12-31$219,616
Total non interest bearing cash at end of year2021-12-31$92
Total non interest bearing cash at beginning of year2021-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$4,854,403
Value of net assets at end of year (total assets less liabilities)2021-12-31$41,619,485
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$36,765,082
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$18,762,285
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$19,973,771
Value of interest in pooled separate accounts at end of year2021-12-31$8,920,674
Value of interest in pooled separate accounts at beginning of year2021-12-31$8,128,804
Interest on participant loans2021-12-31$61,802
Interest earned on other investments2021-12-31$117,368
Value of interest in common/collective trusts at end of year2021-12-31$5,216,568
Value of interest in common/collective trusts at beginning of year2021-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$7,380,897
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$7,634,317
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$2,431,213
Net investment gain/loss from pooled separate accounts2021-12-31$1,381,729
Net investment gain or loss from common/collective trusts2021-12-31$221,102
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$1,770,731
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$3,400,823
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 name2021-12-31COHNREZNICK LLP
Accountancy firm EIN2021-12-31221478099
2020 : SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$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$9,393,030
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$4,118,445
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$3,912,924
Expenses. Certain deemed distributions of participant loans2020-12-31$12,367
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$4,289,616
Value of total assets at end of year2020-12-31$36,765,082
Value of total assets at beginning of year2020-12-31$31,490,497
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$193,154
Total interest from all sources2020-12-31$189,560
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$274,266
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$274,266
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$2,103,583
Participant contributions at end of year2020-12-31$1,028,190
Participant contributions at beginning of year2020-12-31$1,222,720
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$418,209
Other income not declared elsewhere2020-12-31$59,926
Administrative expenses (other) incurred2020-12-31$193,154
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$5,274,585
Value of net assets at end of year (total assets less liabilities)2020-12-31$36,765,082
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$31,490,497
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$19,973,771
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$22,010,108
Value of interest in pooled separate accounts at end of year2020-12-31$8,128,804
Value of interest in pooled separate accounts at beginning of year2020-12-31$2,601,560
Interest on participant loans2020-12-31$64,916
Interest earned on other investments2020-12-31$124,644
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$7,634,317
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$5,656,109
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$3,179,694
Net investment gain/loss from pooled separate accounts2020-12-31$1,399,968
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$1,767,824
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$3,912,924
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 plan2020-12-31Unqualified
Accountancy firm name2020-12-31COHNREZNICK LLP
Accountancy firm EIN2020-12-31221478099
2019 : SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$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 income from all sources (including contributions)2019-12-31$8,225,782
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$3,971,904
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$3,788,360
Expenses. Certain deemed distributions of participant loans2019-12-31$-573
Value of total corrective distributions2019-12-31$12
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$3,011,713
Value of total assets at end of year2019-12-31$31,490,497
Value of total assets at beginning of year2019-12-31$27,236,619
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$184,105
Total interest from all sources2019-12-31$171,401
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$353,219
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$353,219
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
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
Contributions received from participants2019-12-31$1,892,463
Participant contributions at end of year2019-12-31$1,222,720
Participant contributions at beginning of year2019-12-31$1,265,591
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$31,752
Other income not declared elsewhere2019-12-31$61,031
Administrative expenses (other) incurred2019-12-31$184,105
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$4,253,878
Value of net assets at end of year (total assets less liabilities)2019-12-31$31,490,497
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$27,236,619
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$22,010,108
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$18,766,381
Value of interest in pooled separate accounts at end of year2019-12-31$2,601,560
Value of interest in pooled separate accounts at beginning of year2019-12-31$2,159,381
Interest on participant loans2019-12-31$66,335
Interest earned on other investments2019-12-31$105,066
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$5,656,109
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$5,045,266
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$4,085,049
Net investment gain/loss from pooled separate accounts2019-12-31$543,369
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
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$1,087,498
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$3,788,360
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31COHNREZNICK LLP
Accountancy firm EIN2019-12-31221478099
2018 : SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$2,245,725
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$2,337,421
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$2,160,492
Expenses. Certain deemed distributions of participant loans2018-12-31$916
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$3,498,492
Value of total assets at end of year2018-12-31$27,236,619
Value of total assets at beginning of year2018-12-31$27,328,315
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$176,013
Total interest from all sources2018-12-31$152,520
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$330,710
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$330,710
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$1,710,825
Participant contributions at end of year2018-12-31$1,265,591
Participant contributions at beginning of year2018-12-31$1,168,578
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$164,479
Other income not declared elsewhere2018-12-31$53,342
Administrative expenses (other) incurred2018-12-31$176,013
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-91,696
Value of net assets at end of year (total assets less liabilities)2018-12-31$27,236,619
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$27,328,315
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$18,766,381
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$19,411,378
Value of interest in pooled separate accounts at end of year2018-12-31$2,159,381
Value of interest in pooled separate accounts at beginning of year2018-12-31$2,297,320
Interest on participant loans2018-12-31$62,517
Interest earned on other investments2018-12-31$90,003
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$5,045,266
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$4,451,039
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-1,604,697
Net investment gain/loss from pooled separate accounts2018-12-31$-184,642
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$1,623,188
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$2,160,492
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 name2018-12-31LANIGAN, RYAN, MALCOLM & DOYLE, P.C
Accountancy firm EIN2018-12-31521259972
2017 : SHAPIRO & DUNCAN, INC. EMPLOYEE 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$7,353,902
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$1,899,137
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$1,747,747
Expenses. Certain deemed distributions of participant loans2017-12-31$1,722
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$3,383,160
Value of total assets at end of year2017-12-31$27,328,315
Value of total assets at beginning of year2017-12-31$21,873,550
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$149,668
Total interest from all sources2017-12-31$126,046
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$248,579
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$248,579
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$1,462,073
Participant contributions at end of year2017-12-31$1,168,578
Participant contributions at beginning of year2017-12-31$887,550
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$99,058
Other income not declared elsewhere2017-12-31$44,095
Administrative expenses (other) incurred2017-12-31$149,668
Total non interest bearing cash at end of year2017-12-31$0
Total non interest bearing cash at beginning of year2017-12-31$40
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$5,454,765
Value of net assets at end of year (total assets less liabilities)2017-12-31$27,328,315
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$21,873,550
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$19,411,378
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$15,129,052
Value of interest in pooled separate accounts at end of year2017-12-31$2,297,320
Value of interest in pooled separate accounts at beginning of year2017-12-31$1,900,516
Interest on participant loans2017-12-31$46,347
Interest earned on other investments2017-12-31$79,699
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$4,451,039
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$3,956,392
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$3,130,011
Net investment gain/loss from pooled separate accounts2017-12-31$422,011
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$1,822,029
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$1,747,747
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 name2017-12-31LANIGAN, RYAN, MALCOLM & DOYLE, P.C
Accountancy firm EIN2017-12-31521259972
2016 : SHAPIRO & DUNCAN, INC. EMPLOYEE 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$0
Total income from all sources (including contributions)2016-12-31$3,602,125
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$1,165,908
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$1,072,257
Value of total corrective distributions2016-12-31$297
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$2,424,860
Value of total assets at end of year2016-12-31$21,873,550
Value of total assets at beginning of year2016-12-31$19,437,333
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$93,354
Total interest from all sources2016-12-31$109,160
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$219,380
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$219,380
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$1,222,281
Participant contributions at end of year2016-12-31$887,550
Participant contributions at beginning of year2016-12-31$780,876
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$39,556
Other income not declared elsewhere2016-12-31$37,696
Administrative expenses (other) incurred2016-12-31$93,354
Total non interest bearing cash at end of year2016-12-31$40
Total non interest bearing cash at beginning of year2016-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$2,436,217
Value of net assets at end of year (total assets less liabilities)2016-12-31$21,873,550
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$19,437,333
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$15,129,052
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$13,375,391
Value of interest in pooled separate accounts at end of year2016-12-31$1,900,516
Value of interest in pooled separate accounts at beginning of year2016-12-31$1,745,334
Interest on participant loans2016-12-31$35,051
Interest earned on other investments2016-12-31$74,109
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$3,956,392
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$3,535,732
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$635,757
Net investment gain/loss from pooled separate accounts2016-12-31$175,272
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$1,163,023
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$1,072,257
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 name2016-12-31LANIGAN, RYAN, MALCOLM & DOYLE, P.C
Accountancy firm EIN2016-12-31521259972
2015 : SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$2,648,343
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$1,413,901
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,366,360
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$2,712,939
Value of total assets at end of year2015-12-31$19,437,333
Value of total assets at beginning of year2015-12-31$18,202,891
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$47,541
Total interest from all sources2015-12-31$86,935
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$130,369
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$130,369
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$1,228,674
Participant contributions at end of year2015-12-31$780,876
Participant contributions at beginning of year2015-12-31$758,050
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$1,263
Other income not declared elsewhere2015-12-31$35,885
Administrative expenses (other) incurred2015-12-31$47,541
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$1,234,442
Value of net assets at end of year (total assets less liabilities)2015-12-31$19,437,333
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$18,202,891
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$13,375,391
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$13,374,312
Value of interest in pooled separate accounts at end of year2015-12-31$1,745,334
Value of interest in pooled separate accounts at beginning of year2015-12-31$986,513
Interest on participant loans2015-12-31$34,853
Interest earned on other investments2015-12-31$52,082
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$3,535,732
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$3,084,016
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-300,373
Net investment gain/loss from pooled separate accounts2015-12-31$-17,412
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$1,483,002
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,366,360
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 name2015-12-31BAUER & SCOTT CPAS, LLP
Accountancy firm EIN2015-12-31521373749
2014 : SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
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$2,854,591
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$734,982
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$697,591
Expenses. Certain deemed distributions of participant loans2014-12-31$-3,174
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$2,240,069
Value of total assets at end of year2014-12-31$18,202,891
Value of total assets at beginning of year2014-12-31$16,083,282
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$40,565
Total interest from all sources2014-12-31$67,392
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$118,022
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$118,022
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$1,072,388
Participant contributions at end of year2014-12-31$758,050
Participant contributions at beginning of year2014-12-31$528,902
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$17,987
Other income not declared elsewhere2014-12-31$29,565
Administrative expenses (other) incurred2014-12-31$40,565
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$2,119,609
Value of net assets at end of year (total assets less liabilities)2014-12-31$18,202,891
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$16,083,282
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$13,374,312
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$11,674,465
Value of interest in pooled separate accounts at end of year2014-12-31$986,513
Value of interest in pooled separate accounts at beginning of year2014-12-31$1,365,673
Interest on participant loans2014-12-31$27,732
Interest earned on other investments2014-12-31$39,660
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$3,084,016
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$2,514,242
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$322,047
Net investment gain/loss from pooled separate accounts2014-12-31$77,496
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$1,149,694
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$697,591
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 name2014-12-31BAUER & SCOTT CPAS, LLP
Accountancy firm EIN2014-12-31521373749
2013 : SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
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$4,481,194
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$895,055
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$845,195
Expenses. Certain deemed distributions of participant loans2013-12-31$16,500
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,812,742
Value of total assets at end of year2013-12-31$16,083,282
Value of total assets at beginning of year2013-12-31$12,497,143
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$33,360
Total interest from all sources2013-12-31$58,517
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$76,901
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$76,901
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$888,525
Participant contributions at end of year2013-12-31$528,902
Participant contributions at beginning of year2013-12-31$481,996
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$56,623
Other income not declared elsewhere2013-12-31$24,968
Administrative expenses (other) incurred2013-12-31$33,360
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$3,586,139
Value of net assets at end of year (total assets less liabilities)2013-12-31$16,083,282
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$12,497,143
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$11,674,465
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$8,590,885
Value of interest in pooled separate accounts at end of year2013-12-31$1,365,673
Value of interest in pooled separate accounts at beginning of year2013-12-31$1,233,554
Interest on participant loans2013-12-31$20,235
Interest earned on other investments2013-12-31$38,282
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$2,514,242
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$2,190,708
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$2,524,617
Net investment gain/loss from pooled separate accounts2013-12-31$-16,551
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$867,594
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$845,195
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 name2013-12-31BAUER & SCOTT CPAS, LLP
Accountancy firm EIN2013-12-31521373749
2012 : SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$2,790,939
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$1,260,191
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,230,613
Expenses. Certain deemed distributions of participant loans2012-12-31$10,351
Value of total corrective distributions2012-12-31$430
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,533,447
Value of total assets at end of year2012-12-31$12,497,143
Value of total assets at beginning of year2012-12-31$10,966,395
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$18,797
Total interest from all sources2012-12-31$56,932
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$103,021
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$103,021
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$735,499
Participant contributions at end of year2012-12-31$481,996
Participant contributions at beginning of year2012-12-31$311,351
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$168,694
Other income not declared elsewhere2012-12-31$4,720
Administrative expenses (other) incurred2012-12-31$18,797
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$1,530,748
Value of net assets at end of year (total assets less liabilities)2012-12-31$12,497,143
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$10,966,395
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$8,590,885
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$7,366,218
Value of interest in pooled separate accounts at end of year2012-12-31$1,233,554
Value of interest in pooled separate accounts at beginning of year2012-12-31$1,040,858
Interest on participant loans2012-12-31$13,712
Interest earned on other investments2012-12-31$43,220
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$2,190,708
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$2,247,968
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$990,300
Net investment gain/loss from pooled separate accounts2012-12-31$102,519
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$629,254
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,230,613
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31BAUER & SCOTT CPAS, LLP
Accountancy firm EIN2012-12-31521373749
2011 : SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$1,383,404
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$1,287,068
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,279,217
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,680,754
Value of total assets at end of year2011-12-31$10,966,395
Value of total assets at beginning of year2011-12-31$10,870,059
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$7,851
Total interest from all sources2011-12-31$62,504
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$68,962
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$68,962
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$941,588
Participant contributions at end of year2011-12-31$311,351
Participant contributions at beginning of year2011-12-31$247,361
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$347,283
Other income not declared elsewhere2011-12-31$-29
Administrative expenses (other) incurred2011-12-31$7,851
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$96,336
Value of net assets at end of year (total assets less liabilities)2011-12-31$10,966,395
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$10,870,059
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$7,366,218
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$7,035,349
Value of interest in pooled separate accounts at end of year2011-12-31$1,040,858
Value of interest in pooled separate accounts at beginning of year2011-12-31$1,797,082
Interest on participant loans2011-12-31$12,210
Interest earned on other investments2011-12-31$50,294
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$2,247,968
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$1,790,267
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-341,543
Net investment gain/loss from pooled separate accounts2011-12-31$-87,244
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31Yes
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$391,883
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,279,217
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31BAUER & SCOTT CPAS, LLP
Accountancy firm EIN2011-12-31521373749
2010 : SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$2,276,851
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$857,453
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$853,877
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,109,071
Value of total assets at end of year2010-12-31$10,870,059
Value of total assets at beginning of year2010-12-31$9,450,661
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$3,576
Total interest from all sources2010-12-31$60,355
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$64,908
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$64,908
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$784,004
Participant contributions at end of year2010-12-31$247,361
Participant contributions at beginning of year2010-12-31$252,012
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$12,164
Other income not declared elsewhere2010-12-31$-57
Administrative expenses (other) incurred2010-12-31$3,576
Total non interest bearing cash at end of year2010-12-31$0
Total non interest bearing cash at beginning of year2010-12-31$70
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$1,419,398
Value of net assets at end of year (total assets less liabilities)2010-12-31$10,870,059
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$9,450,661
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$7,035,349
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$5,721,350
Value of interest in pooled separate accounts at end of year2010-12-31$1,797,082
Value of interest in pooled separate accounts at beginning of year2010-12-31$1,774,349
Interest on participant loans2010-12-31$12,685
Interest earned on other investments2010-12-31$47,670
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$1,790,267
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$1,702,880
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$895,021
Net investment gain/loss from pooled separate accounts2010-12-31$147,553
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31Yes
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$312,903
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$853,877
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31BAUER & SCOTT CPAS, LLP
Accountancy firm EIN2010-12-31521373749
2009 : SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN

2023: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01Submission has been amendedNo
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: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
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: SHAPIRO & DUNCAN, INC. EMPLOYEE 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 – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: SHAPIRO & DUNCAN, INC. EMPLOYEE 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: SHAPIRO & DUNCAN, INC. EMPLOYEE 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: SHAPIRO & DUNCAN, INC. EMPLOYEE 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: SHAPIRO & DUNCAN, INC. EMPLOYEE 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: SHAPIRO & DUNCAN, INC. EMPLOYEE 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: SHAPIRO & DUNCAN, INC. EMPLOYEE 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: SHAPIRO & DUNCAN, INC. EMPLOYEE 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: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
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
2012: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: SHAPIRO & DUNCAN, INC. EMPLOYEE 401(K) PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number524745-01
Policy instance 1
Insurance contract or identification number524745-01
Number of Individuals Covered412
Insurance policy start date2023-01-01
Insurance policy end date2023-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number041171
Policy instance 1
Insurance contract or identification number041171
Number of Individuals Covered414
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number041171
Policy instance 1
Insurance contract or identification number041171
Number of Individuals Covered414
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number041171
Policy instance 1
Insurance contract or identification number041171
Number of Individuals Covered416
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?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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number041171
Policy instance 1
Insurance contract or identification number041171
Number of Individuals Covered431
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?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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41171
Policy instance 1
Insurance contract or identification number41171
Number of Individuals Covered446
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
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?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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41171
Policy instance 1
Insurance contract or identification number41171
Number of Individuals Covered433
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
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?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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41171
Policy instance 1
Insurance contract or identification number41171
Number of Individuals Covered400
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
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?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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41171
Policy instance 1
Insurance contract or identification number41171
Number of Individuals Covered382
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
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?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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41171
Policy instance 1
Insurance contract or identification number41171
Number of Individuals Covered354
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
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?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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41171
Policy instance 1
Insurance contract or identification number41171
Number of Individuals Covered332
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $3,227
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
Amount paid for insurance broker fees3227
Additional information about fees paid to insurance brokerSERVICES TO INSURER OR PLAN
Insurance broker organization code?4
Insurance broker nameMML INSURANCE AGENCY
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41171
Policy instance 1
Insurance contract or identification number41171
Number of Individuals Covered322
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $7,449
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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41171
Policy instance 2
Insurance contract or identification number41171
Number of Individuals Covered369
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $6,797
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
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number6-11087
Policy instance 1
Insurance contract or identification number6-11087
Number of Individuals Covered0
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $161
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?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
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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