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ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 401k Plan overview

Plan NameASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN
Plan identification number 002

ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN Benefits

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

401k Sponsoring company profile

ASSOCIATION OF AMERICAN RAILROADS has sponsored the creation of one or more 401k plans.

Company Name:ASSOCIATION OF AMERICAN RAILROADS
Employer identification number (EIN):536000125
NAIC Classification:482110
NAIC Description: Rail Transportation

Additional information about ASSOCIATION OF AMERICAN RAILROADS

Jurisdiction of Incorporation: North Carolina Secretary of State
Incorporation Date:
Company Identification Number: 0470285

More information about ASSOCIATION OF AMERICAN RAILROADS

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022023-01-01
0022022-01-01
0022021-01-01
0022020-01-01
0022019-01-01
0022018-01-01
0022017-01-01CARLA GARCIA CARLA GARCIA2018-10-12
0022016-01-01CARLA GARCIA CARLA GARCIA2017-10-10
0022015-01-01CARLA GARCIA CARLA GARCIA2016-10-11
0022014-01-01CARLA GARCIA CARLA GARCIA2015-09-21
0022013-01-01CARLA GARCIA CARLA GARCIA2014-10-07
0022012-01-01CARLA GARCIA CARLA GARCIA2013-09-30
0022011-01-01CARLA GARCIA CARLA GARCIA2012-10-05
0022010-01-01CARLA GARCIA CARLA GARCIA2011-10-04
0022009-01-01CARLA GARCIA CARLA GARCIA2010-10-13

Plan Statistics for ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN

401k plan membership statisitcs for ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN

Measure Date Value
2023: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2023 401k membership
Total participants, beginning-of-year2023-01-01887
Total number of active participants reported on line 7a of the Form 55002023-01-01558
Number of retired or separated participants receiving benefits2023-01-0124
Number of other retired or separated participants entitled to future benefits2023-01-01311
Total of all active and inactive participants2023-01-01893
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-010
Total participants2023-01-01893
Number of participants with account balances2023-01-01849
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-0134
2022: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01894
Total number of active participants reported on line 7a of the Form 55002022-01-01559
Number of retired or separated participants receiving benefits2022-01-0110
Number of other retired or separated participants entitled to future benefits2022-01-01318
Total of all active and inactive participants2022-01-01887
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01887
Number of participants with account balances2022-01-01866
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-0111
2021: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01886
Total number of active participants reported on line 7a of the Form 55002021-01-01606
Number of retired or separated participants receiving benefits2021-01-018
Number of other retired or separated participants entitled to future benefits2021-01-01280
Total of all active and inactive participants2021-01-01894
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01894
Number of participants with account balances2021-01-01861
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-018
2020: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01867
Total number of active participants reported on line 7a of the Form 55002020-01-01640
Number of retired or separated participants receiving benefits2020-01-019
Number of other retired or separated participants entitled to future benefits2020-01-01237
Total of all active and inactive participants2020-01-01886
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01886
Number of participants with account balances2020-01-01852
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01802
Total number of active participants reported on line 7a of the Form 55002019-01-01617
Number of retired or separated participants receiving benefits2019-01-0110
Number of other retired or separated participants entitled to future benefits2019-01-01240
Total of all active and inactive participants2019-01-01867
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01867
Number of participants with account balances2019-01-01810
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-015
2018: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01776
Total number of active participants reported on line 7a of the Form 55002018-01-01565
Number of retired or separated participants receiving benefits2018-01-018
Number of other retired or separated participants entitled to future benefits2018-01-01226
Total of all active and inactive participants2018-01-01799
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01799
Number of participants with account balances2018-01-01732
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-014
2017: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01752
Total number of active participants reported on line 7a of the Form 55002017-01-01560
Number of retired or separated participants receiving benefits2017-01-017
Number of other retired or separated participants entitled to future benefits2017-01-01209
Total of all active and inactive participants2017-01-01776
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01776
Number of participants with account balances2017-01-01697
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-017
2016: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01702
Total number of active participants reported on line 7a of the Form 55002016-01-01569
Number of retired or separated participants receiving benefits2016-01-017
Number of other retired or separated participants entitled to future benefits2016-01-01176
Total of all active and inactive participants2016-01-01752
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01752
Number of participants with account balances2016-01-01678
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-013
2015: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01735
Total number of active participants reported on line 7a of the Form 55002015-01-01545
Number of retired or separated participants receiving benefits2015-01-015
Number of other retired or separated participants entitled to future benefits2015-01-01152
Total of all active and inactive participants2015-01-01702
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01702
Number of participants with account balances2015-01-01602
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01730
Total number of active participants reported on line 7a of the Form 55002014-01-01584
Number of retired or separated participants receiving benefits2014-01-014
Number of other retired or separated participants entitled to future benefits2014-01-01147
Total of all active and inactive participants2014-01-01735
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01735
Number of participants with account balances2014-01-01534
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01657
Total number of active participants reported on line 7a of the Form 55002013-01-01589
Number of retired or separated participants receiving benefits2013-01-011
Number of other retired or separated participants entitled to future benefits2013-01-01140
Total of all active and inactive participants2013-01-01730
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01730
Number of participants with account balances2013-01-01509
2012: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01586
Total number of active participants reported on line 7a of the Form 55002012-01-01534
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01123
Total of all active and inactive participants2012-01-01657
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01657
Number of participants with account balances2012-01-01493
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01571
Total number of active participants reported on line 7a of the Form 55002011-01-01479
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-01107
Total of all active and inactive participants2011-01-01586
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01586
Number of participants with account balances2011-01-01468
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01462
Total number of active participants reported on line 7a of the Form 55002010-01-01468
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-01103
Total of all active and inactive participants2010-01-01571
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01571
Number of participants with account balances2010-01-01459
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01560
Total number of active participants reported on line 7a of the Form 55002009-01-01357
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01105
Total of all active and inactive participants2009-01-01462
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01462
Number of participants with account balances2009-01-01462
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN

Measure Date Value
2023 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets2023-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$0
Total income from all sources (including contributions)2023-12-31$24,377,743
Total loss/gain on sale of assets2023-12-31$0
Total of all expenses incurred2023-12-31$18,432,100
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$18,162,151
Value of total corrective distributions2023-12-31$4,523
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$7,929,701
Value of total assets at end of year2023-12-31$129,003,891
Value of total assets at beginning of year2023-12-31$123,058,248
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$265,426
Total interest from all sources2023-12-31$615,919
Total dividends received (eg from common stock, registered investment company shares)2023-12-31$1,824,445
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2023-12-31$1,824,445
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$500,000
If this is an individual account plan, was there a blackout period2023-12-31Yes
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Contributions received from participants2023-12-31$5,665,929
Participant contributions at end of year2023-12-31$963,641
Participant contributions at beginning of year2023-12-31$813,526
Assets. Other investments not covered elsewhere at end of year2023-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2023-12-31$136,398
Income. Received or receivable in cash from other sources (including rollovers)2023-12-31$420,121
Other income not declared elsewhere2023-12-31$84,000
Administrative expenses (other) incurred2023-12-31$143
Total non interest bearing cash at end of year2023-12-31$15,000
Total non interest bearing cash at beginning of year2023-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$5,945,643
Value of net assets at end of year (total assets less liabilities)2023-12-31$129,003,891
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$123,058,248
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Investment advisory and management fees2023-12-31$70,000
Value of interest in registered invesment companies (eg mutual funds) at end of year2023-12-31$63,204,765
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2023-12-31$54,284,068
Value of interest in pooled separate accounts at end of year2023-12-31$39,324,839
Value of interest in pooled separate accounts at beginning of year2023-12-31$34,505,669
Interest on participant loans2023-12-31$50,435
Interest earned on other investments2023-12-31$565,484
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2023-12-31$10,555
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2023-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2023-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2023-12-31$25,432,264
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2023-12-31$33,318,587
Net investment gain/loss from registered investment companies (e.g. mutual funds)2023-12-31$7,272,540
Net investment gain/loss from pooled separate accounts2023-12-31$6,651,138
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31No
Was there a failure to transmit to the plan any participant contributions2023-12-31No
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Contributions received in cash from employer2023-12-31$1,843,651
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$18,162,151
Contract administrator fees2023-12-31$195,283
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32023-12-31Yes
Assets. Corporate common stocks other than exployer securities at end of year2023-12-31$52,827
Assets. Corporate common stocks other than exployer securities at beginning of year2023-12-31$0
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31UHY LLP
Accountancy firm EIN2023-12-31200694403
2022 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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$0
Total income from all sources (including contributions)2022-12-31$-12,408,380
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$12,235,241
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$11,938,360
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$8,361,507
Value of total assets at end of year2022-12-31$123,058,248
Value of total assets at beginning of year2022-12-31$147,701,869
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$296,881
Total interest from all sources2022-12-31$602,486
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$909,237
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$909,237
Administrative expenses professional fees incurred2022-12-31$20,000
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$5,485,332
Participant contributions at end of year2022-12-31$813,526
Participant contributions at beginning of year2022-12-31$1,135,316
Assets. Other investments not covered elsewhere at end of year2022-12-31$136,398
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$173,895
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$1,035,181
Other income not declared elsewhere2022-12-31$36,604
Administrative expenses (other) incurred2022-12-31$93
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-24,643,621
Value of net assets at end of year (total assets less liabilities)2022-12-31$123,058,248
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$147,701,869
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$70,000
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$54,284,068
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$61,005,075
Value of interest in pooled separate accounts at end of year2022-12-31$34,505,669
Value of interest in pooled separate accounts at beginning of year2022-12-31$52,042,514
Interest on participant loans2022-12-31$45,647
Interest earned on other investments2022-12-31$556,839
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$33,318,587
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$33,345,069
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-10,976,305
Net investment gain/loss from pooled separate accounts2022-12-31$-11,341,909
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$1,840,994
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$11,938,360
Contract administrator fees2022-12-31$206,788
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 name2022-12-31UHY LLP
Accountancy firm EIN2022-12-31200694403
2021 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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$23,528,868
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$9,037,415
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$8,667,016
Value of total corrective distributions2021-12-31$39,266
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$7,776,475
Value of total assets at end of year2021-12-31$147,701,869
Value of total assets at beginning of year2021-12-31$133,210,416
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$331,133
Total interest from all sources2021-12-31$617,926
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$979,926
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$979,926
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$5,528,874
Participant contributions at end of year2021-12-31$1,135,316
Participant contributions at beginning of year2021-12-31$925,531
Assets. Other investments not covered elsewhere at end of year2021-12-31$173,895
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$154,252
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$408,066
Other income not declared elsewhere2021-12-31$116,707
Administrative expenses (other) incurred2021-12-31$331,133
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$14,491,453
Value of net assets at end of year (total assets less liabilities)2021-12-31$147,701,869
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$133,210,416
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$61,005,075
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$52,608,934
Value of interest in pooled separate accounts at end of year2021-12-31$52,042,514
Value of interest in pooled separate accounts at beginning of year2021-12-31$45,310,841
Interest on participant loans2021-12-31$55,565
Interest earned on other investments2021-12-31$562,361
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$33,345,069
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$34,210,858
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$4,701,364
Net investment gain/loss from pooled separate accounts2021-12-31$9,336,470
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$1,839,535
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$8,667,016
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 name2021-12-31UHY, LLP
Accountancy firm EIN2021-12-31200694403
2020 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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$24,323,523
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$7,447,842
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$7,156,144
Value of total corrective distributions2020-12-31$46,419
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$8,576,795
Value of total assets at end of year2020-12-31$133,210,416
Value of total assets at beginning of year2020-12-31$116,334,735
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$245,279
Total interest from all sources2020-12-31$693,503
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$745,660
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$745,660
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$5,492,176
Participant contributions at end of year2020-12-31$925,531
Participant contributions at beginning of year2020-12-31$989,399
Assets. Other investments not covered elsewhere at end of year2020-12-31$154,252
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$141,826
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$1,289,025
Other income not declared elsewhere2020-12-31$108,565
Administrative expenses (other) incurred2020-12-31$245,279
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$16,875,681
Value of net assets at end of year (total assets less liabilities)2020-12-31$133,210,416
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$116,334,735
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$52,608,934
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$46,959,958
Value of interest in pooled separate accounts at end of year2020-12-31$45,310,841
Value of interest in pooled separate accounts at beginning of year2020-12-31$39,298,724
Interest on participant loans2020-12-31$52,594
Interest earned on other investments2020-12-31$640,909
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$34,210,858
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$28,944,828
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$6,078,885
Net investment gain/loss from pooled separate accounts2020-12-31$8,120,115
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$1,795,594
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$7,156,144
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 name2020-12-31UHY, LLP
Accountancy firm EIN2020-12-31200694403
2019 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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$26,052,477
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$10,246,765
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$9,942,547
Value of total corrective distributions2019-12-31$45,363
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$6,835,671
Value of total assets at end of year2019-12-31$116,334,735
Value of total assets at beginning of year2019-12-31$100,529,023
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$258,855
Total interest from all sources2019-12-31$658,694
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$896,950
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$896,950
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$4,916,318
Participant contributions at end of year2019-12-31$989,399
Participant contributions at beginning of year2019-12-31$888,614
Assets. Other investments not covered elsewhere at end of year2019-12-31$141,826
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$167,709
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$294,773
Other income not declared elsewhere2019-12-31$125,655
Administrative expenses (other) incurred2019-12-31$258,855
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$15,805,712
Value of net assets at end of year (total assets less liabilities)2019-12-31$116,334,735
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$100,529,023
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$46,959,958
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$39,419,307
Value of interest in pooled separate accounts at end of year2019-12-31$39,298,724
Value of interest in pooled separate accounts at beginning of year2019-12-31$35,027,604
Interest on participant loans2019-12-31$46,479
Interest earned on other investments2019-12-31$612,215
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$28,944,828
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$25,025,789
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$8,136,330
Net investment gain/loss from pooled separate accounts2019-12-31$9,399,177
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$1,624,580
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$9,942,547
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 name2019-12-31UHY, LLP
Accountancy firm EIN2019-12-31200694403
2018 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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$3,020,294
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$6,040,952
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$5,879,742
Value of total corrective distributions2018-12-31$40,187
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$7,226,924
Value of total assets at end of year2018-12-31$100,529,023
Value of total assets at beginning of year2018-12-31$103,549,681
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$121,023
Total interest from all sources2018-12-31$536,090
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$631,874
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$631,874
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$4,376,618
Participant contributions at end of year2018-12-31$888,614
Participant contributions at beginning of year2018-12-31$1,168,927
Assets. Other investments not covered elsewhere at end of year2018-12-31$167,709
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$290,390
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$1,410,319
Other income not declared elsewhere2018-12-31$60,516
Administrative expenses (other) incurred2018-12-31$121,023
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-3,020,658
Value of net assets at end of year (total assets less liabilities)2018-12-31$100,529,023
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$103,549,681
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
Assets. partnership/joint venture interests at end of year2018-12-31$0
Assets. partnership/joint venture interests at beginning of year2018-12-31$3,011
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$39,419,307
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$33,011,176
Value of interest in pooled separate accounts at end of year2018-12-31$35,027,604
Value of interest in pooled separate accounts at beginning of year2018-12-31$44,807,119
Interest on participant loans2018-12-31$66,008
Interest earned on other investments2018-12-31$470,082
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$25,025,789
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$24,269,058
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-3,908,260
Net investment gain/loss from pooled separate accounts2018-12-31$-1,526,850
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31Yes
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$1,439,987
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$5,879,742
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31UHY, LLP
Accountancy firm EIN2018-12-31200694403
2017 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$-159
Total unrealized appreciation/depreciation of assets2017-12-31$-159
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$18,909,786
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$5,071,692
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$4,919,721
Value of total corrective distributions2017-12-31$75,638
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$6,153,754
Value of total assets at end of year2017-12-31$103,549,681
Value of total assets at beginning of year2017-12-31$89,711,587
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$76,333
Total interest from all sources2017-12-31$471,768
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$397,008
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$397,008
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$5,000,000
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$4,366,528
Participant contributions at end of year2017-12-31$1,168,927
Participant contributions at beginning of year2017-12-31$1,134,092
Assets. Other investments not covered elsewhere at end of year2017-12-31$290,390
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$243,311
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$383,608
Other income not declared elsewhere2017-12-31$114,803
Administrative expenses (other) incurred2017-12-31$76,333
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$13,838,094
Value of net assets at end of year (total assets less liabilities)2017-12-31$103,549,681
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$89,711,587
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
Assets. partnership/joint venture interests at end of year2017-12-31$3,011
Assets. partnership/joint venture interests at beginning of year2017-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$33,011,176
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$27,333,398
Value of interest in pooled separate accounts at end of year2017-12-31$44,807,119
Value of interest in pooled separate accounts at beginning of year2017-12-31$36,745,661
Interest on participant loans2017-12-31$64,065
Interest earned on other investments2017-12-31$407,703
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$24,269,058
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$24,255,125
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$4,829,986
Net investment gain/loss from pooled separate accounts2017-12-31$6,942,626
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 contributions2017-12-31Yes
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$1,403,618
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$4,919,721
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 name2017-12-31UHY, LLP
Accountancy firm EIN2017-12-31200694403
2016 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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$10,779,172
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$6,317,797
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$6,069,002
Expenses. Certain deemed distributions of participant loans2016-12-31$1
Value of total corrective distributions2016-12-31$174,025
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$5,911,533
Value of total assets at end of year2016-12-31$89,711,587
Value of total assets at beginning of year2016-12-31$85,250,212
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$74,769
Total interest from all sources2016-12-31$480,994
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$360,909
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$360,909
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$5,000,000
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$4,125,487
Participant contributions at end of year2016-12-31$1,134,092
Participant contributions at beginning of year2016-12-31$930,562
Assets. Other investments not covered elsewhere at end of year2016-12-31$243,311
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$268,805
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$462,299
Other income not declared elsewhere2016-12-31$38,657
Administrative expenses (other) incurred2016-12-31$74,769
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$4,461,375
Value of net assets at end of year (total assets less liabilities)2016-12-31$89,711,587
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$85,250,212
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$27,333,398
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$25,033,452
Value of interest in pooled separate accounts at end of year2016-12-31$36,745,661
Value of interest in pooled separate accounts at beginning of year2016-12-31$36,003,002
Interest on participant loans2016-12-31$45,237
Interest earned on other investments2016-12-31$435,757
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$24,255,125
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$23,014,391
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$1,965,028
Net investment gain/loss from pooled separate accounts2016-12-31$2,022,051
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$1,323,747
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$6,069,002
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31UHY, LLP
Accountancy firm EIN2016-12-31200694403
2015 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$-102
Total unrealized appreciation/depreciation of assets2015-12-31$-102
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$6,800,510
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$6,095,159
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$6,000,362
Expenses. Certain deemed distributions of participant loans2015-12-31$17,958
Value of total corrective distributions2015-12-31$3,714
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$5,881,361
Value of total assets at end of year2015-12-31$85,250,212
Value of total assets at beginning of year2015-12-31$84,544,861
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$73,125
Total interest from all sources2015-12-31$436,331
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$334,917
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$334,917
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$5,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$3,968,678
Participant contributions at end of year2015-12-31$930,562
Participant contributions at beginning of year2015-12-31$1,039,561
Assets. Other investments not covered elsewhere at end of year2015-12-31$268,805
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$284,571
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$644,205
Other income not declared elsewhere2015-12-31$55,194
Administrative expenses (other) incurred2015-12-31$73,125
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$705,351
Value of net assets at end of year (total assets less liabilities)2015-12-31$85,250,212
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$84,544,861
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
Assets. partnership/joint venture interests at beginning of year2015-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$25,033,452
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$16,983,481
Value of interest in pooled separate accounts at end of year2015-12-31$36,003,002
Value of interest in pooled separate accounts at beginning of year2015-12-31$44,804,929
Interest on participant loans2015-12-31$45,110
Interest earned on other investments2015-12-31$391,221
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$23,014,391
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$21,432,319
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-404,944
Net investment gain/loss from pooled separate accounts2015-12-31$497,753
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$1,268,478
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$6,000,362
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 name2015-12-31UHY , LLP
Accountancy firm EIN2015-12-31200694403
2014 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$1,462
Total unrealized appreciation/depreciation of assets2014-12-31$1,462
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$8,952,605
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$4,159,424
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$4,056,120
Expenses. Certain deemed distributions of participant loans2014-12-31$3,925
Value of total corrective distributions2014-12-31$30,111
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$5,143,075
Value of total assets at end of year2014-12-31$84,544,861
Value of total assets at beginning of year2014-12-31$79,751,680
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$69,268
Total interest from all sources2014-12-31$470,705
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$228,972
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$228,972
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$5,000,000
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$3,633,331
Participant contributions at end of year2014-12-31$1,039,561
Participant contributions at beginning of year2014-12-31$1,088,381
Assets. Other investments not covered elsewhere at end of year2014-12-31$284,571
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$276,184
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$420,950
Other income not declared elsewhere2014-12-31$74,258
Administrative expenses (other) incurred2014-12-31$69,268
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$4,793,181
Value of net assets at end of year (total assets less liabilities)2014-12-31$84,544,861
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$79,751,680
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
Assets. partnership/joint venture interests at beginning of year2014-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$16,983,481
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$8,365,740
Value of interest in pooled separate accounts at end of year2014-12-31$44,804,929
Value of interest in pooled separate accounts at beginning of year2014-12-31$48,521,574
Interest on participant loans2014-12-31$51,545
Interest earned on other investments2014-12-31$419,160
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$21,432,319
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$21,499,801
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$212,549
Net investment gain/loss from pooled separate accounts2014-12-31$2,821,584
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$1,088,794
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$4,056,120
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 name2014-12-31UHY , LLP
Accountancy firm EIN2014-12-31200694403
2013 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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$17,098,484
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$3,695,529
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$3,627,262
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$5,366,291
Value of total assets at end of year2013-12-31$79,751,680
Value of total assets at beginning of year2013-12-31$66,348,725
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$68,267
Total interest from all sources2013-12-31$482,072
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$96,194
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$96,194
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$5,000,000
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$3,534,672
Participant contributions at end of year2013-12-31$1,088,381
Participant contributions at beginning of year2013-12-31$1,244,216
Assets. Other investments not covered elsewhere at end of year2013-12-31$276,184
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$295,997
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$759,889
Other income not declared elsewhere2013-12-31$65,996
Administrative expenses (other) incurred2013-12-31$68,267
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$13,402,955
Value of net assets at end of year (total assets less liabilities)2013-12-31$79,751,680
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$66,348,725
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$8,365,740
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$7,514,982
Value of interest in pooled separate accounts at end of year2013-12-31$48,521,574
Value of interest in pooled separate accounts at beginning of year2013-12-31$37,719,003
Interest on participant loans2013-12-31$54,421
Interest earned on other investments2013-12-31$427,651
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$21,499,801
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$19,574,527
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$11,087,931
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$1,071,730
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$3,627,262
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-12-31No
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 name2013-12-31UHY, LLP
Accountancy firm EIN2013-12-31200694403
2012 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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$11,011,313
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$5,416,990
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$5,386,203
Expenses. Certain deemed distributions of participant loans2012-12-31$29,193
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$4,695,661
Value of total assets at end of year2012-12-31$66,348,725
Value of total assets at beginning of year2012-12-31$60,754,402
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$1,594
Total interest from all sources2012-12-31$536,672
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$126,006
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$126,006
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$5,000,000
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$3,482,327
Participant contributions at end of year2012-12-31$1,244,216
Participant contributions at beginning of year2012-12-31$1,153,642
Assets. Other investments not covered elsewhere at end of year2012-12-31$295,997
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$355,673
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$222,170
Other income not declared elsewhere2012-12-31$42,110
Administrative expenses (other) incurred2012-12-31$1,594
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$5,594,323
Value of net assets at end of year (total assets less liabilities)2012-12-31$66,348,725
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$60,754,402
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$7,514,982
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$6,012,618
Value of interest in pooled separate accounts at end of year2012-12-31$37,719,003
Value of interest in pooled separate accounts at beginning of year2012-12-31$33,952,254
Interest on participant loans2012-12-31$54,184
Interest earned on other investments2012-12-31$482,488
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$19,574,527
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$19,280,215
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$876,433
Net investment gain/loss from pooled separate accounts2012-12-31$4,734,431
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$991,164
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$5,386,203
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-12-31No
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 name2012-12-31UHY, LLP
Accountancy firm EIN2012-12-31200694403
2011 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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$4,196,946
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$2,907,330
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$2,840,175
Expenses. Certain deemed distributions of participant loans2011-12-31$17
Value of total corrective distributions2011-12-31$2,735
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$4,363,631
Value of total assets at end of year2011-12-31$60,754,402
Value of total assets at beginning of year2011-12-31$59,464,786
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$64,403
Total interest from all sources2011-12-31$568,169
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$119,165
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$119,165
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$5,000,000
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$3,259,394
Participant contributions at end of year2011-12-31$1,153,642
Participant contributions at beginning of year2011-12-31$1,100,557
Assets. Other investments not covered elsewhere at end of year2011-12-31$355,673
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$359,911
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$194,748
Other income not declared elsewhere2011-12-31$48,514
Administrative expenses (other) incurred2011-12-31$64,403
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$1,289,616
Value of net assets at end of year (total assets less liabilities)2011-12-31$60,754,402
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$59,464,786
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$6,012,618
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$691,355
Value of interest in pooled separate accounts at end of year2011-12-31$33,952,254
Value of interest in pooled separate accounts at beginning of year2011-12-31$38,942,053
Interest on participant loans2011-12-31$58,856
Interest earned on other investments2011-12-31$509,313
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$19,280,215
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$18,370,910
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-891,492
Net investment gain/loss from pooled separate accounts2011-12-31$-11,041
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$909,489
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$2,840,175
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
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 name2011-12-31UHY, LLP
Accountancy firm EIN2011-12-31200694403
2010 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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$9,729,388
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$4,981,240
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$4,972,138
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$4,084,059
Value of total assets at end of year2010-12-31$59,464,786
Value of total assets at beginning of year2010-12-31$54,716,638
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$9,102
Total interest from all sources2010-12-31$609,980
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$53,007
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$53,007
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$5,000,000
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$3,087,858
Participant contributions at end of year2010-12-31$1,100,557
Participant contributions at beginning of year2010-12-31$1,089,450
Assets. Other investments not covered elsewhere at end of year2010-12-31$359,911
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$313,128
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$119,617
Other income not declared elsewhere2010-12-31$54,283
Administrative expenses (other) incurred2010-12-31$9,102
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$4,748,148
Value of net assets at end of year (total assets less liabilities)2010-12-31$59,464,786
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$54,716,638
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$691,355
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$639,148
Value of interest in pooled separate accounts at end of year2010-12-31$38,942,053
Value of interest in pooled separate accounts at beginning of year2010-12-31$34,310,504
Interest on participant loans2010-12-31$65,419
Interest earned on other investments2010-12-31$544,561
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$18,370,910
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$18,364,408
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$35,747
Net investment gain/loss from pooled separate accounts2010-12-31$4,892,312
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$876,584
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$4,972,138
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 name2010-12-31UHY, LLP
Accountancy firm EIN2010-12-31200694403
2009 : ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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 ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN

2023: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: ASSOCIATION OF AMERICAN RAILROADS INCENTIVE THRIFT 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 number556249-01
Policy instance 1
Insurance contract or identification number556249-01
Number of Individuals Covered827
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 number031250
Policy instance 1
Insurance contract or identification number031250
Number of Individuals Covered887
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 number031250
Policy instance 1
Insurance contract or identification number031250
Number of Individuals Covered894
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 number031250
Policy instance 1
Insurance contract or identification number031250
Number of Individuals Covered886
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 number031250
Policy instance 1
Insurance contract or identification number031250
Number of Individuals Covered867
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 number031250
Policy instance 1
Insurance contract or identification number031250
Number of Individuals Covered799
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 number031250
Policy instance 1
Insurance contract or identification number031250
Number of Individuals Covered776
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 number31250
Policy instance 1
Insurance contract or identification number31250
Number of Individuals Covered702
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 number31250
Policy instance 1
Insurance contract or identification number31250
Number of Individuals Covered735
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 number31250-001
Policy instance 1
Insurance contract or identification number31250-001
Number of Individuals Covered730
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 number31250-001
Policy instance 1
Insurance contract or identification number31250-001
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 $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 number31250-001
Policy instance 1
Insurance contract or identification number31250-001
Number of Individuals Covered586
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 $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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number31250-001
Policy instance 1
Insurance contract or identification number31250-001
Number of Individuals Covered571
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 $39,412
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

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