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401k Plan overview

Plan NameVIKING INC. 401 K PROFIT SHARING PLAN
Plan identification number 001

VIKING INC. 401 K PROFIT SHARING 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.
  • 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

VIKING, INC. has sponsored the creation of one or more 401k plans.

Company Name:VIKING, INC.
Employer identification number (EIN):010194854
NAIC Classification:444190
NAIC Description:Other Building Material Dealers

Additional information about VIKING, INC.

Jurisdiction of Incorporation: California Department of State
Incorporation Date: 2004-06-09
Company Identification Number: C2656196
Legal Registered Office Address: 901 A Street, Suite C

San Rafael
United States of America (USA)
94901

More information about VIKING, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan VIKING INC. 401 K PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012017-01-01MAUREEN FLANAGAN MAUREEN FLANAGAN2018-10-10
0012016-01-01MAUREEN FLANAGAN MAUREEN FLANAGAN2017-10-12
0012015-01-01MAUREEN FLANAGAN MAUREEN FLANAGAN2016-10-12
0012014-01-01MAUREEN FLANAGAN MAUREEN FLANAGAN2015-10-13
0012013-01-01MAUREEN FLANAGAN MAUREEN FLANAGAN2014-09-25
0012012-01-01MAUREEN FLANAGAN
0012011-01-01MAUREEN FLANAGAN MAUREEN FLANAGAN2012-10-05
0012010-01-01MAUREEN FLANAGAN MAUREEN FLANAGAN2011-10-13
0012009-01-01JOAN LOW

Plan Statistics for VIKING INC. 401 K PROFIT SHARING PLAN

401k plan membership statisitcs for VIKING INC. 401 K PROFIT SHARING PLAN

Measure Date Value
2017
Total participants, beginning-of-year2017-01-01212
Total number of active participants reported on line 7a of the Form 55002017-01-01180
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0137
Total of all active and inactive participants2017-01-01217
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01217
Number of participants with account balances2017-01-01194
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-017
2016
Total participants, beginning-of-year2016-01-01199
Total number of active participants reported on line 7a of the Form 55002016-01-01183
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0128
Total of all active and inactive participants2016-01-01211
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-011
Total participants2016-01-01212
Number of participants with account balances2016-01-01177
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-016
2015
Total participants, beginning-of-year2015-01-01187
Total number of active participants reported on line 7a of the Form 55002015-01-01173
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0125
Total of all active and inactive participants2015-01-01198
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-011
Total participants2015-01-01199
Number of participants with account balances2015-01-01166
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-019
2014
Total participants, beginning-of-year2014-01-01189
Total number of active participants reported on line 7a of the Form 55002014-01-01166
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0119
Total of all active and inactive participants2014-01-01185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-011
Total participants2014-01-01186
Number of participants with account balances2014-01-01157
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-017
2013
Total participants, beginning-of-year2013-01-01180
Total number of active participants reported on line 7a of the Form 55002013-01-01162
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0124
Total of all active and inactive participants2013-01-01186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01186
Number of participants with account balances2013-01-01156
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-013
2012
Total participants, beginning-of-year2012-01-01137
Total number of active participants reported on line 7a of the Form 55002012-01-01158
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0120
Total of all active and inactive participants2012-01-01178
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-011
Total participants2012-01-01179
Number of participants with account balances2012-01-01151
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-014
2011
Total participants, beginning-of-year2011-01-01135
Total number of active participants reported on line 7a of the Form 55002011-01-01120
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0115
Total of all active and inactive participants2011-01-01135
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-011
Total participants2011-01-01136
Number of participants with account balances2011-01-01115
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-011
2010
Total participants, beginning-of-year2010-01-01161
Total number of active participants reported on line 7a of the Form 55002010-01-01122
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-0111
Total of all active and inactive participants2010-01-01133
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-011
Total participants2010-01-01134
Number of participants with account balances2010-01-01116
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-012
2009
Total participants, beginning-of-year2009-01-01146
Total number of active participants reported on line 7a of the Form 55002009-01-01148
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0112
Total of all active and inactive participants2009-01-01160
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-011
Total participants2009-01-01161
Number of participants with account balances2009-01-01117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-011

Financial Data on VIKING INC. 401 K PROFIT SHARING PLAN

Measure Date Value
2018
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$0
Total income from all sources (including contributions)2018-12-31$-35,385
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$328,786
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$325,609
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$538,653
Value of total assets at end of year2018-12-31$8,322,431
Value of total assets at beginning of year2018-12-31$8,686,602
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$3,177
Total interest from all sources2018-12-31$12,637
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
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$398,731
Participant contributions at end of year2018-12-31$140,322
Participant contributions at beginning of year2018-12-31$128,941
Other income not declared elsewhere2018-12-31$28
Administrative expenses (other) incurred2018-12-31$3,177
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-364,171
Value of net assets at end of year (total assets less liabilities)2018-12-31$8,322,431
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$8,686,602
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$7,593,677
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$7,980,358
Interest on participant loans2018-12-31$7,461
Interest earned on other investments2018-12-31$5,176
Value of interest in common/collective trusts at end of year2018-12-31$63,071
Value of interest in common/collective trusts at beginning of year2018-12-31$58,280
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$525,361
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$519,023
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-585,178
Net investment gain or loss from common/collective trusts2018-12-31$-1,525
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$139,922
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$325,609
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 name2018-12-31HAVERLOCK, ESTEY & CURRAN
Accountancy firm EIN2018-12-31010271013
2017
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$2,006,899
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$149,838
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$147,540
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$765,916
Value of total assets at end of year2017-12-31$8,686,602
Value of total assets at beginning of year2017-12-31$6,829,541
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$2,298
Total interest from all sources2017-12-31$10,302
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$367,924
Participant contributions at end of year2017-12-31$128,941
Participant contributions at beginning of year2017-12-31$141,260
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$261,518
Administrative expenses (other) incurred2017-12-31$2,298
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$1,857,061
Value of net assets at end of year (total assets less liabilities)2017-12-31$8,686,602
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$6,829,541
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$7,980,358
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$6,150,869
Interest on participant loans2017-12-31$5,455
Interest earned on other investments2017-12-31$4,847
Value of interest in common/collective trusts at end of year2017-12-31$58,280
Value of interest in common/collective trusts at beginning of year2017-12-31$41,060
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$519,023
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$496,352
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$1,230,681
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$136,474
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$147,540
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 name2017-12-31HAVERLOCK, ESTEY & CURRAN
Accountancy firm EIN2017-12-31010271013
2016
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$1,044,772
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$288,903
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$287,881
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$477,926
Value of total assets at end of year2016-12-31$6,829,541
Value of total assets at beginning of year2016-12-31$6,073,672
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$1,022
Total interest from all sources2016-12-31$14,452
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$349,733
Participant contributions at end of year2016-12-31$141,260
Participant contributions at beginning of year2016-12-31$193,328
Administrative expenses (other) incurred2016-12-31$1,022
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$755,869
Value of net assets at end of year (total assets less liabilities)2016-12-31$6,829,541
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$6,073,672
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$6,150,869
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$5,357,053
Interest on participant loans2016-12-31$6,871
Interest earned on other investments2016-12-31$7,581
Value of interest in common/collective trusts at end of year2016-12-31$41,060
Value of interest in common/collective trusts at beginning of year2016-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$496,352
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$523,291
Net investment gain/loss from pooled separate accounts2016-12-31$552,394
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$128,193
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$287,881
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 name2016-12-31HAVERLOCK, ESTEY & CURRAN
Accountancy firm EIN2016-12-31010271013
2015
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$545,254
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$798,565
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$796,515
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$528,510
Value of total assets at end of year2015-12-31$6,073,672
Value of total assets at beginning of year2015-12-31$6,326,983
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$2,050
Total interest from all sources2015-12-31$31,184
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$348,747
Participant contributions at end of year2015-12-31$193,328
Participant contributions at beginning of year2015-12-31$133,108
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$53,114
Other income not declared elsewhere2015-12-31$23
Administrative expenses (other) incurred2015-12-31$2,050
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-253,311
Value of net assets at end of year (total assets less liabilities)2015-12-31$6,073,672
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$6,326,983
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$5,357,053
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$5,289,118
Interest on participant loans2015-12-31$8,136
Interest earned on other investments2015-12-31$23,048
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$523,291
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$904,757
Net investment gain/loss from pooled separate accounts2015-12-31$-14,463
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$126,649
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$796,515
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 name2015-12-31HAVERLOCK, ESTEY & CURRAN
Accountancy firm EIN2015-12-31010271013
2014
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$834,089
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$412,703
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$410,603
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$474,568
Value of total assets at end of year2014-12-31$6,326,983
Value of total assets at beginning of year2014-12-31$5,905,597
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$2,100
Total interest from all sources2014-12-31$34,056
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$324,153
Participant contributions at end of year2014-12-31$133,108
Participant contributions at beginning of year2014-12-31$135,085
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$37,129
Other income not declared elsewhere2014-12-31$45
Administrative expenses (other) incurred2014-12-31$2,100
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$421,386
Value of net assets at end of year (total assets less liabilities)2014-12-31$6,326,983
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$5,905,597
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$5,289,118
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$4,778,442
Interest on participant loans2014-12-31$5,619
Interest earned on other investments2014-12-31$28,437
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$904,757
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$992,070
Net investment gain/loss from pooled separate accounts2014-12-31$325,420
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 plan2014-12-31Yes
Contributions received in cash from employer2014-12-31$113,286
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$410,603
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 name2014-12-31HAVERLOCK, ESTEY & CURRAN
Accountancy firm EIN2014-12-31010271013
2013
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$1,567,804
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$194,382
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$192,307
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$565,358
Value of total assets at end of year2013-12-31$5,905,597
Value of total assets at beginning of year2013-12-31$4,532,175
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$2,075
Total interest from all sources2013-12-31$34,015
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$277,942
Participant contributions at end of year2013-12-31$135,085
Participant contributions at beginning of year2013-12-31$98,127
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$179,527
Other income not declared elsewhere2013-12-31$1
Administrative expenses (other) incurred2013-12-31$2,075
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$1,373,422
Value of net assets at end of year (total assets less liabilities)2013-12-31$5,905,597
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$4,532,175
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$4,778,442
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$3,469,658
Interest on participant loans2013-12-31$4,340
Interest earned on other investments2013-12-31$29,675
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$992,070
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$964,390
Net investment gain/loss from pooled separate accounts2013-12-31$968,430
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 plan2013-12-31Yes
Contributions received in cash from employer2013-12-31$107,889
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$192,307
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 name2013-12-31HAVERLOCK, ESTEY & CURRAN
Accountancy firm EIN2013-12-31010271013
2012
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$949,906
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$286,102
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$285,501
Expenses. Certain deemed distributions of participant loans2012-12-31$201
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$479,788
Value of total assets at end of year2012-12-31$4,532,175
Value of total assets at beginning of year2012-12-31$3,868,371
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$400
Total interest from all sources2012-12-31$31,952
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$400,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$278,799
Participant contributions at end of year2012-12-31$98,127
Participant contributions at beginning of year2012-12-31$124,539
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$98,554
Other income not declared elsewhere2012-12-31$45
Administrative expenses (other) incurred2012-12-31$400
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$663,804
Value of net assets at end of year (total assets less liabilities)2012-12-31$4,532,175
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$3,868,371
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$3,469,658
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$2,861,990
Interest on participant loans2012-12-31$4,918
Interest earned on other investments2012-12-31$27,034
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$964,390
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$881,842
Net investment gain/loss from pooled separate accounts2012-12-31$438,121
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 contributions2012-12-31Yes
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$102,435
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$285,501
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 name2012-12-31HAVERLOCK, ESTEY & CURRAN
Accountancy firm EIN2012-12-31010271013
2011
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$255,498
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$119,779
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$99,208
Expenses. Certain deemed distributions of participant loans2011-12-31$18,821
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$291,536
Value of total assets at end of year2011-12-31$3,868,371
Value of total assets at beginning of year2011-12-31$3,732,652
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$1,750
Total interest from all sources2011-12-31$25,875
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$265,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$209,667
Participant contributions at end of year2011-12-31$124,539
Participant contributions at beginning of year2011-12-31$82,792
Other income not declared elsewhere2011-12-31$327
Administrative expenses (other) incurred2011-12-31$1,750
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$135,719
Value of net assets at end of year (total assets less liabilities)2011-12-31$3,868,371
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$3,732,652
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$2,861,990
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$2,969,592
Interest on participant loans2011-12-31$3,788
Interest earned on other investments2011-12-31$22,087
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$881,842
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$680,268
Net investment gain/loss from pooled separate accounts2011-12-31$-62,240
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$81,869
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$99,208
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 name2011-12-31HAVERLOCK, ESTEY & CURRAN
Accountancy firm EIN2011-12-31010271013
2010
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$675,527
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$133,667
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$132,991
Expenses. Certain deemed distributions of participant loans2010-12-31$1
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$280,774
Value of total assets at end of year2010-12-31$3,732,652
Value of total assets at beginning of year2010-12-31$3,190,792
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$675
Total interest from all sources2010-12-31$23,129
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$265,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$205,018
Participant contributions at end of year2010-12-31$82,792
Participant contributions at beginning of year2010-12-31$78,166
Other income not declared elsewhere2010-12-31$1,132
Administrative expenses (other) incurred2010-12-31$675
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$541,860
Value of net assets at end of year (total assets less liabilities)2010-12-31$3,732,652
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$3,190,792
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$2,969,592
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$2,507,621
Interest on participant loans2010-12-31$4,653
Interest earned on other investments2010-12-31$18,476
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$680,268
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$605,005
Net investment gain/loss from pooled separate accounts2010-12-31$370,492
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$75,756
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$132,991
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 name2010-12-31HAVERLOCK, ESTEY & CURRAN
Accountancy firm EIN2010-12-31010271013

Form 5500 Responses

2017
2017-01-01Type of plan entityMulitple 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
2016-01-01Type of plan entityMulitple 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
2015-01-01Type of plan entityMulitple 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
2014-01-01Type of plan entityMulitple 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
2013-01-01Type of plan entityMulitple 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
2012-01-01Type of plan entityMulitple 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
2011-01-01Type of plan entityMulitple 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
2010-01-01Type of plan entityMulitple 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
2009-01-01Type of plan entityMulitple 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

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9905
Policy instance 1
Insurance contract or identification numberZH9905
Number of Individuals Covered217
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $18,712
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $18,712
Insurance broker organization code?3
Insurance broker nameLINCOLN FINANCIAL ADVISORS CORP.
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9152
Policy instance 1
Insurance contract or identification numberZH9152
Number of Individuals Covered199
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $15,574
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $15,574
Insurance broker organization code?3
Insurance broker nameWAKEMAN PETER B
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9152
Policy instance 1
Insurance contract or identification numberZH9152
Number of Individuals Covered186
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $14,771
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $14,771
Insurance broker organization code?3
Insurance broker nameWAKEMAN PETER B
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9152
Policy instance 1
Insurance contract or identification numberZH9152
Number of Individuals Covered186
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $12,720
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $12,720
Insurance broker organization code?3
Insurance broker nameWAKEMAN PETER B
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9152
Policy instance 1
Insurance contract or identification numberZH9152
Number of Individuals Covered179
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $10,237
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $10,237
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameWAKEMAN PETER B
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9152
Policy instance 1
Insurance contract or identification numberZH9152
Number of Individuals Covered136
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $9,403
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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9152
Policy instance 1
Insurance contract or identification numberZH9152
Number of Individuals Covered134
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $8,026
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

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