401k Plan data: SUN LIFE FINANCIAL plan

SUN LIFE FINANCIAL 401k Plan overview

Plan Name	SUN LIFE FINANCIAL
Plan identification number	502

SUN LIFE FINANCIAL Benefits

401k Plan Type

Welfare Benefit

Plan Features/Benefits

Life insurance
Vision
Temporary disability (accident and sickness)
Long-term disability cover
Death benefits (include travel accident but not life insurance)
Unfunded, fully insured, or combination unfunded/insured welfare plan that will not file a Form 5500 for next plan year pursuant to 29 CFR 2520.104-20.
Unfunded, fully insured, or combination unfunded/insured welfare plan that stopped filing form 5500s in an earlier plan year pursuant to 29 CFR 2520.104-20.

401k Sponsoring company profile

SOUTHERN EARTH SCIENCES, INC. has sponsored the creation of one or more 401k plans.

Company Name: SOUTHERN EARTH SCIENCES, INC.

Employer identification number (EIN): 630710398

NAIC Classification: 541330
NAIC Description: Engineering Services

Additional information about SOUTHERN EARTH SCIENCES, INC.

Jurisdiction of Incorporation: Alabama Secretary of State

Incorporation Date: 1976-06-29

Company Identification Number: 042-119

Legal Registered Office Address: 6352 PICCADILLY SQUARE DR MOBILE, AL 36609-5143

United States of America (USA)

More information about SOUTHERN EARTH SCIENCES, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SUN LIFE FINANCIAL

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
502 2018-07-01 CINDY GIDDENS 2020-01-29
502 2014-07-01 CINDY GIDDENS
502 2014-07-01 CINDY GIDDENS
502 2013-07-01 CINDY GIDDENS
502 2012-07-01 CINDY GIDDENS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
502	2018-07-01	CINDY GIDDENS	2020-01-29
502	2014-07-01	CINDY GIDDENS
502	2014-07-01	CINDY GIDDENS
502	2013-07-01	CINDY GIDDENS
502	2012-07-01	CINDY GIDDENS

Plan Statistics for SUN LIFE FINANCIAL

401k plan membership statisitcs for SUN LIFE FINANCIAL

Measure Date Value
2018: SUN LIFE FINANCIAL 2018 401k membership
Total participants, beginning-of-year 2018-07-01 102
Total number of active participants reported on line 7a of the Form 5500 2018-07-01 0
Number of retired or separated participants receiving benefits 2018-07-01 0
Number of other retired or separated participants entitled to future benefits 2018-07-01 0
Total of all active and inactive participants 2018-07-01 0
Number of employers contributing to the scheme 2018-07-01 0
2014: SUN LIFE FINANCIAL 2014 401k membership
Total participants, beginning-of-year 2014-07-01 109
Total number of active participants reported on line 7a of the Form 5500 2014-07-01 106
Number of retired or separated participants receiving benefits 2014-07-01 0
Number of other retired or separated participants entitled to future benefits 2014-07-01 0
Total of all active and inactive participants 2014-07-01 106
2013: SUN LIFE FINANCIAL 2013 401k membership
Total participants, beginning-of-year 2013-07-01 105
Total number of active participants reported on line 7a of the Form 5500 2013-07-01 105
Number of retired or separated participants receiving benefits 2013-07-01 0
Number of other retired or separated participants entitled to future benefits 2013-07-01 0
Total of all active and inactive participants 2013-07-01 105
2012: SUN LIFE FINANCIAL 2012 401k membership
Total participants, beginning-of-year 2012-07-01 129
Total number of active participants reported on line 7a of the Form 5500 2012-07-01 114
Number of retired or separated participants receiving benefits 2012-07-01 2
Number of other retired or separated participants entitled to future benefits 2012-07-01 0
Total of all active and inactive participants 2012-07-01 116

Measure	Date	Value
2018: SUN LIFE FINANCIAL 2018 401k membership
Total participants, beginning-of-year	2018-07-01	102
Total number of active participants reported on line 7a of the Form 5500	2018-07-01	0
Number of retired or separated participants receiving benefits	2018-07-01	0
Number of other retired or separated participants entitled to future benefits	2018-07-01	0
Total of all active and inactive participants	2018-07-01	0
Number of employers contributing to the scheme	2018-07-01	0
2014: SUN LIFE FINANCIAL 2014 401k membership
Total participants, beginning-of-year	2014-07-01	109
Total number of active participants reported on line 7a of the Form 5500	2014-07-01	106
Number of retired or separated participants receiving benefits	2014-07-01	0
Number of other retired or separated participants entitled to future benefits	2014-07-01	0
Total of all active and inactive participants	2014-07-01	106
2013: SUN LIFE FINANCIAL 2013 401k membership
Total participants, beginning-of-year	2013-07-01	105
Total number of active participants reported on line 7a of the Form 5500	2013-07-01	105
Number of retired or separated participants receiving benefits	2013-07-01	0
Number of other retired or separated participants entitled to future benefits	2013-07-01	0
Total of all active and inactive participants	2013-07-01	105
2012: SUN LIFE FINANCIAL 2012 401k membership
Total participants, beginning-of-year	2012-07-01	129
Total number of active participants reported on line 7a of the Form 5500	2012-07-01	114
Number of retired or separated participants receiving benefits	2012-07-01	2
Number of other retired or separated participants entitled to future benefits	2012-07-01	0
Total of all active and inactive participants	2012-07-01	116

Form 5500 Responses for SUN LIFE FINANCIAL

2018: SUN LIFE FINANCIAL 2018 form 5500 responses
2018-07-01	Type of plan entity	Single employer plan
2018-07-01	This submission is the final filing	Yes
2018-07-01	Plan funding arrangement – Insurance	Yes
2018-07-01	Plan benefit arrangement – Insurance	Yes
2014: SUN LIFE FINANCIAL 2014 form 5500 responses
2014-07-01	Type of plan entity	Single employer plan
2014-07-01	Submission has been amended	No
2014-07-01	This submission is the final filing	No
2014-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-07-01	Plan is a collectively bargained plan	No
2014-07-01	Plan funding arrangement – Insurance	Yes
2014-07-01	Plan benefit arrangement – Insurance	Yes
2013: SUN LIFE FINANCIAL 2013 form 5500 responses
2013-07-01	Type of plan entity	Single employer plan
2013-07-01	Submission has been amended	No
2013-07-01	This submission is the final filing	No
2013-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-07-01	Plan is a collectively bargained plan	No
2013-07-01	Plan funding arrangement – Insurance	Yes
2013-07-01	Plan benefit arrangement – Insurance	Yes
2012: SUN LIFE FINANCIAL 2012 form 5500 responses
2012-07-01	Type of plan entity	Single employer plan
2012-07-01	Submission has been amended	No
2012-07-01	This submission is the final filing	No
2012-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-07-01	Plan is a collectively bargained plan	No
2012-07-01	Plan funding arrangement – Insurance	Yes
2012-07-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )

Policy contract number

469632

Policy instance

Insurance contract or identification number	469632
Number of Individuals Covered	107
Insurance policy start date	2018-07-01
Insurance policy end date	2019-06-30
Total amount of commissions paid to insurance broker	USD $22,688
Total amount of fees paid to insurance company	USD $6,781
Dental Insurance Welfare Benefit	Yes
Vision Insurance Welfare Benefit	Yes
Life Insurance Welfare Benefit	Yes
Temporary Disability Insurance Welfare Benefit	Yes
Long Term Disability Insurance Welfare Benefit	Yes
Other welfare benefits provided	ACCIDENTAL DEATH AND DISMEMBERMENT, ACCIDENT, CRITICAL ILLNESS, HOSPITAL
Welfare Benefit Premiums Paid to Carrier	USD $188,391
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $22,688
Amount paid for insurance broker fees	6781
Additional information about fees paid to insurance broker	FEES
Insurance broker organization code?	3

SUN LIFE AND HEALTH INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 80926 )

Policy contract number

33-3760-00

Policy instance

Insurance contract or identification number	33-3760-00
Number of Individuals Covered	103
Insurance policy start date	2014-06-01
Insurance policy end date	2014-06-30
Total amount of commissions paid to insurance broker	USD $483
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	Yes
Temporary Disability Insurance Welfare Benefit	Yes
Long Term Disability Insurance Welfare Benefit	Yes
Unemployment Insurance Welfare Benefit	No
Other welfare benefits provided	ACCIDENTAL DEATH AND DISMEMBERMENT
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Welfare Benefit Premiums Paid to Carrier	USD $3,789
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	Yes

THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 64246 )

Policy contract number

469632

Policy instance

Insurance contract or identification number	469632
Number of Individuals Covered	116
Insurance policy start date	2014-07-01
Insurance policy end date	2015-06-30
Total amount of commissions paid to insurance broker	USD $13,711
Total amount of fees paid to insurance company	USD $5,075
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	Yes
Vision Insurance Welfare Benefit	Yes
Life Insurance Welfare Benefit	Yes
Temporary Disability Insurance Welfare Benefit	Yes
Long Term Disability Insurance Welfare Benefit	Yes
Unemployment Insurance Welfare Benefit	No
Other welfare benefits provided	ACCIDENTAL DEATH AND DISMEMBERMENT
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Welfare Benefit Premiums Paid to Carrier	USD $137,022
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

SUN LIFE AND HEALTH INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 80926 )

Policy contract number

33-3760-00

Policy instance

Insurance contract or identification number	33-3760-00
Number of Individuals Covered	105
Insurance policy start date	2013-06-01
Insurance policy end date	2014-05-31
Total amount of commissions paid to insurance broker	USD $5,189
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	Yes
Temporary Disability Insurance Welfare Benefit	Yes
Long Term Disability Insurance Welfare Benefit	Yes
Unemployment Insurance Welfare Benefit	No
Other welfare benefits provided	ACCIDENTAL DEATH AND DISMEMBERMENT
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Welfare Benefit Premiums Paid to Carrier	USD $46,687
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	Yes
Commission paid to Insurance Broker	USD $5,189
Insurance broker organization code?	3
Insurance broker name	HUB INTERNATIONAL INS. SVCS., INC.

SUN LIFE AND HEALTH INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 80926 )

Policy contract number

33-3760-00

Policy instance

Insurance contract or identification number	33-3760-00
Number of Individuals Covered	116
Insurance policy start date	2012-06-01
Insurance policy end date	2013-05-31
Total amount of commissions paid to insurance broker	USD $4,848
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	Yes
Temporary Disability Insurance Welfare Benefit	Yes
Long Term Disability Insurance Welfare Benefit	Yes
Unemployment Insurance Welfare Benefit	No
Other welfare benefits provided	ACCIDENTAL DEATH AND DISMEMBERMENT
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Welfare Benefit Premiums Paid to Carrier	USD $50,195
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	Yes
Commission paid to Insurance Broker	USD $4,848
Insurance broker organization code?	3
Insurance broker name	HUB INTERNATIONAL INS. SVCES., INC.

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Company Name:	SOUTHERN EARTH SCIENCES, INC.
Employer identification number (EIN):	630710398
NAIC Classification:	541330
NAIC Description:	Engineering Services

Jurisdiction of Incorporation:	Alabama Secretary of State
Incorporation Date:	1976-06-29
Company Identification Number:	042-119
Legal Registered Office Address:	6352 PICCADILLY SQUARE DR MOBILE, AL 36609-5143 United States of America (USA)