401k Plan data: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN plan

MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 401k Plan overview

Plan Name	MOUNTAIN STATES ROSEN, LLC 401(K) PLAN
Plan identification number	002

MOUNTAIN STATES ROSEN, LLC 401(K) PLAN Benefits

401k Plan Type

Defined 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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

MOUNTAIN STATES ROSEN, LLC has sponsored the creation of one or more 401k plans.

Company Name: MOUNTAIN STATES ROSEN, LLC

Employer identification number (EIN): 010548080

NAIC Classification: 311610
NAIC Description: Animal Slaughtering and Processing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MOUNTAIN STATES ROSEN, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2018-01-01
002 2017-01-01 GENE KINCHELOE
002 2016-01-01 CAROLYN ROMERO
002 2015-01-01 BENNIE ENEH
002 2014-01-01 BENNIE ENEH
002 2013-01-01 BENNIE ENEH
002 2012-01-01 BENNIE ENEH MOUNTAIN STATES ROSEN, LLC 2013-07-19
002 2011-01-01 BENNIE ENEH

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2018-01-01
002	2017-01-01	GENE KINCHELOE
002	2016-01-01	CAROLYN ROMERO
002	2015-01-01	BENNIE ENEH
002	2014-01-01	BENNIE ENEH
002	2013-01-01	BENNIE ENEH
002	2012-01-01	BENNIE ENEH	MOUNTAIN STATES ROSEN, LLC	2013-07-19
002	2011-01-01	BENNIE ENEH

Plan Statistics for MOUNTAIN STATES ROSEN, LLC 401(K) PLAN

401k plan membership statisitcs for MOUNTAIN STATES ROSEN, LLC 401(K) PLAN

Measure Date Value
2018: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 315
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 407
Number of retired or separated participants receiving benefits 2018-01-01 1
Number of other retired or separated participants entitled to future benefits 2018-01-01 128
Total of all active and inactive participants 2018-01-01 536
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 536
Number of participants with account balances 2018-01-01 227
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 1
2017: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 338
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 203
Number of retired or separated participants receiving benefits 2017-01-01 1
Number of other retired or separated participants entitled to future benefits 2017-01-01 111
Total of all active and inactive participants 2017-01-01 315
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 315
Number of participants with account balances 2017-01-01 188
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 333
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 225
Number of retired or separated participants receiving benefits 2016-01-01 1
Number of other retired or separated participants entitled to future benefits 2016-01-01 110
Total of all active and inactive participants 2016-01-01 336
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 336
Number of participants with account balances 2016-01-01 183
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 2
2015: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 351
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 243
Number of other retired or separated participants entitled to future benefits 2015-01-01 88
Total of all active and inactive participants 2015-01-01 331
Total participants 2015-01-01 331
Number of participants with account balances 2015-01-01 148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 1
2014: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 325
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 247
Number of other retired or separated participants entitled to future benefits 2014-01-01 88
Total of all active and inactive participants 2014-01-01 335
Total participants 2014-01-01 335
Number of participants with account balances 2014-01-01 153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 293
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 219
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 86
Total of all active and inactive participants 2013-01-01 305
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 305
Number of participants with account balances 2013-01-01 154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 5
2012: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 170
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 198
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 86
Total of all active and inactive participants 2012-01-01 284
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 284
Number of participants with account balances 2012-01-01 148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 9
2011: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 132
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 110
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 52
Total of all active and inactive participants 2011-01-01 162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 162
Number of participants with account balances 2011-01-01 148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 5

Measure	Date	Value
2018: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	315
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	407
Number of retired or separated participants receiving benefits	2018-01-01	1
Number of other retired or separated participants entitled to future benefits	2018-01-01	128
Total of all active and inactive participants	2018-01-01	536
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	536
Number of participants with account balances	2018-01-01	227
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	1
2017: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	338
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	203
Number of retired or separated participants receiving benefits	2017-01-01	1
Number of other retired or separated participants entitled to future benefits	2017-01-01	111
Total of all active and inactive participants	2017-01-01	315
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	315
Number of participants with account balances	2017-01-01	188
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	333
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	225
Number of retired or separated participants receiving benefits	2016-01-01	1
Number of other retired or separated participants entitled to future benefits	2016-01-01	110
Total of all active and inactive participants	2016-01-01	336
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	336
Number of participants with account balances	2016-01-01	183
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	2
2015: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	351
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	243
Number of other retired or separated participants entitled to future benefits	2015-01-01	88
Total of all active and inactive participants	2015-01-01	331
Total participants	2015-01-01	331
Number of participants with account balances	2015-01-01	148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	1
2014: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	325
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	247
Number of other retired or separated participants entitled to future benefits	2014-01-01	88
Total of all active and inactive participants	2014-01-01	335
Total participants	2014-01-01	335
Number of participants with account balances	2014-01-01	153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	293
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	219
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	86
Total of all active and inactive participants	2013-01-01	305
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	305
Number of participants with account balances	2013-01-01	154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	5
2012: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	170
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	198
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	86
Total of all active and inactive participants	2012-01-01	284
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	284
Number of participants with account balances	2012-01-01	148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	9
2011: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	132
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	110
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	52
Total of all active and inactive participants	2011-01-01	162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	162
Number of participants with account balances	2011-01-01	148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	5

Financial Data on MOUNTAIN STATES ROSEN, LLC 401(K) PLAN

Measure	Date	Value
2018 : MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2018 401k financial data
Total income from all sources (including contributions)	2018-12-31	$310,868
Total of all expenses incurred	2018-12-31	$211,444
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$197,206
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$485,104
Value of total assets at end of year	2018-12-31	$3,107,584
Value of total assets at beginning of year	2018-12-31	$3,008,160
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$14,238
Total interest from all sources	2018-12-31	$8,437
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$275,835
Participant contributions at end of year	2018-12-31	$50,891
Participant contributions at beginning of year	2018-12-31	$36,887
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$32,792
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$46
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$0
Administrative expenses (other) incurred	2018-12-31	$13,869
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$99,424
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$3,107,584
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$3,008,160
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$369
Value of interest in pooled separate accounts at end of year	2018-12-31	$2,556,368
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$2,423,138
Interest on participant loans	2018-12-31	$2,095
Interest earned on other investments	2018-12-31	$6,342
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$500,279
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$548,135
Net investment gain/loss from pooled separate accounts	2018-12-31	$-182,673
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$176,477
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$197,206
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2018-12-31	No
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	WIPFLI LLP
Accountancy firm EIN	2018-12-31	390758449
2017 : MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2017 401k financial data
Total income from all sources (including contributions)	2017-12-31	$735,144
Total of all expenses incurred	2017-12-31	$376,244
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$358,246
Expenses. Certain deemed distributions of participant loans	2017-12-31	$3,239
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$359,974
Value of total assets at end of year	2017-12-31	$3,008,160
Value of total assets at beginning of year	2017-12-31	$2,649,260
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$14,759
Total interest from all sources	2017-12-31	$8,177
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$222,998
Participant contributions at end of year	2017-12-31	$36,887
Participant contributions at beginning of year	2017-12-31	$55,875
Administrative expenses (other) incurred	2017-12-31	$14,759
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$358,900
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$3,008,160
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$2,649,260
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in pooled separate accounts at end of year	2017-12-31	$2,423,138
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$1,958,950
Interest on participant loans	2017-12-31	$1,866
Interest earned on other investments	2017-12-31	$6,311
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$548,135
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$634,435
Net investment gain/loss from pooled separate accounts	2017-12-31	$366,993
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$136,976
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$358,246
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-12-31	No
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	WIPFLI LLP
Accountancy firm EIN	2017-12-31	390758449
2016 : MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$585,131
Total of all expenses incurred	2016-12-31	$1,213,107
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,201,092
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$471,262
Value of total assets at end of year	2016-12-31	$2,649,260
Value of total assets at beginning of year	2016-12-31	$3,277,236
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$12,015
Total interest from all sources	2016-12-31	$8,903
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$267,168
Participant contributions at end of year	2016-12-31	$55,875
Participant contributions at beginning of year	2016-12-31	$80,681
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$56,901
Administrative expenses (other) incurred	2016-12-31	$12,015
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$-627,976
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$2,649,260
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$3,277,236
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in pooled separate accounts at end of year	2016-12-31	$1,958,950
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$2,762,161
Interest on participant loans	2016-12-31	$3,017
Interest earned on other investments	2016-12-31	$5,886
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$634,435
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$434,394
Net investment gain/loss from pooled separate accounts	2016-12-31	$104,966
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$147,193
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,201,092
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2016-12-31	No
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	BAUERLE AND COMPANY, P.C.
Accountancy firm EIN	2016-12-31	840817888
2015 : MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$292,014
Total of all expenses incurred	2015-12-31	$293,128
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$276,788
Value of total corrective distributions	2015-12-31	$1,908
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$312,450
Value of total assets at end of year	2015-12-31	$3,277,236
Value of total assets at beginning of year	2015-12-31	$3,278,350
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$14,432
Total interest from all sources	2015-12-31	$3,777
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$216,010
Participant contributions at end of year	2015-12-31	$80,681
Participant contributions at beginning of year	2015-12-31	$96,426
Other income not declared elsewhere	2015-12-31	$5,571
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-1,114
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$3,277,236
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$3,278,350
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in pooled separate accounts at end of year	2015-12-31	$2,762,161
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$2,732,579
Interest on participant loans	2015-12-31	$3,777
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$434,394
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$449,345
Net investment gain/loss from pooled separate accounts	2015-12-31	$-29,784
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$96,440
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$276,788
Contract administrator fees	2015-12-31	$14,432
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	LEHMAN NEWMAN FLYNN VOLLARO CPA'S P
Accountancy firm EIN	2015-12-31	134037143
2014 : MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2014 401k financial data
Total income from all sources (including contributions)	2014-12-31	$492,132
Total of all expenses incurred	2014-12-31	$633,885
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$620,975
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$318,251
Value of total assets at end of year	2014-12-31	$3,278,350
Value of total assets at beginning of year	2014-12-31	$3,420,103
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$12,910
Total interest from all sources	2014-12-31	$3,977
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$218,227
Participant contributions at end of year	2014-12-31	$96,426
Participant contributions at beginning of year	2014-12-31	$127,924
Other income not declared elsewhere	2014-12-31	$8,366
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$-141,753
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$3,278,350
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$3,420,103
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in pooled separate accounts at end of year	2014-12-31	$2,732,579
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$2,433,279
Interest on participant loans	2014-12-31	$3,977
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$449,345
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$858,900
Net investment gain/loss from pooled separate accounts	2014-12-31	$161,538
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$100,024
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$620,975
Contract administrator fees	2014-12-31	$12,910
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	ALOY E. NWOSU CPA & ASSOCITES, LLC
Accountancy firm EIN	2014-12-31	223683253
2013 : MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2013 401k financial data
Total income from all sources (including contributions)	2013-12-31	$698,873
Total of all expenses incurred	2013-12-31	$504,950
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$488,457
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$261,701
Value of total assets at end of year	2013-12-31	$3,420,103
Value of total assets at beginning of year	2013-12-31	$3,226,180
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$16,493
Total interest from all sources	2013-12-31	$2,441
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	No
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$176,126
Participant contributions at end of year	2013-12-31	$127,924
Participant contributions at beginning of year	2013-12-31	$88,749
Other income not declared elsewhere	2013-12-31	$17,389
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$193,923
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$3,420,103
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$3,226,180
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in pooled separate accounts at end of year	2013-12-31	$2,433,279
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$1,744,525
Interest on participant loans	2013-12-31	$2,441
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$858,900
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$1,392,906
Net investment gain/loss from pooled separate accounts	2013-12-31	$417,342
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$85,575
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$488,457
Contract administrator fees	2013-12-31	$16,493
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	ALOY E. NWOSU CPA & ASSOCIATES
Accountancy firm EIN	2013-12-31	223683253
2012 : MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$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	$332,838
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$138,191
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$122,017
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$115,578
Value of total assets at end of year	2012-12-31	$3,226,180
Value of total assets at beginning of year	2012-12-31	$3,031,533
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$16,174
Total interest from all sources	2012-12-31	$4,988
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 year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$115,578
Participant contributions at end of year	2012-12-31	$88,749
Participant contributions at beginning of year	2012-12-31	$75,894
Other income not declared elsewhere	2012-12-31	$24,306
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$194,647
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$3,226,180
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$3,031,533
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in pooled separate accounts at end of year	2012-12-31	$1,744,525
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$1,523,621
Interest on participant loans	2012-12-31	$4,988
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$1,392,906
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$1,432,018
Net investment gain/loss from pooled separate accounts	2012-12-31	$187,966
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$122,017
Contract administrator fees	2012-12-31	$16,174
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	No
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	ALOY E. NWOSU CPA & ASSOCIATES
Accountancy firm EIN	2012-12-31	223683253
2011 : MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$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	$366,365
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$299,831
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$279,464
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$360,135
Value of total assets at end of year	2011-12-31	$3,031,533
Value of total assets at beginning of year	2011-12-31	$2,964,999
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$20,367
Total interest from all sources	2011-12-31	$4,557
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 year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$141,295
Participant contributions at end of year	2011-12-31	$75,894
Participant contributions at beginning of year	2011-12-31	$92,601
Participant contributions at beginning of year	2011-12-31	$2,020
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$59,595
Other income not declared elsewhere	2011-12-31	$32,438
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$66,534
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$3,031,533
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$2,964,999
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in pooled separate accounts at end of year	2011-12-31	$1,523,621
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$1,587,774
Interest on participant loans	2011-12-31	$4,557
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$1,432,018
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$1,282,604
Net investment gain/loss from pooled separate accounts	2011-12-31	$-30,765
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$159,245
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$279,464
Contract administrator fees	2011-12-31	$20,367
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	No
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	LEHMAN NEWMAN FLYNN VOLLARO P.C.
Accountancy firm EIN	2011-12-31	134037143

Form 5500 Responses for MOUNTAIN STATES ROSEN, LLC 401(K) PLAN

2018: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: MOUNTAIN STATES ROSEN, LLC 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

34117

Policy instance

Insurance contract or identification number	34117
Number of Individuals Covered	227
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $10,877
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $7,346
Insurance broker organization code?	3

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

34117

Policy instance

Insurance contract or identification number	34117
Number of Individuals Covered	188
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $9,529
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $8,677
Insurance broker organization code?	3
Insurance broker name	MORGAN STANLEY INSURANCE SVC INC

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

34117

Policy instance

Insurance contract or identification number	34117
Number of Individuals Covered	148
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $11,038
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $11,038
Insurance broker organization code?	3
Insurance broker name	LINCOLN FINANCIAL ADVISORS COR

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

34117

Policy instance

Insurance contract or identification number	34117
Number of Individuals Covered	153
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $11,246
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $11,246
Insurance broker organization code?	3
Insurance broker name	LINCOLN FINANCIAL ADVISORS COR

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

34117

Policy instance

Insurance contract or identification number	34117
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $10,343
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $10,343
Insurance broker organization code?	3
Insurance broker name	LINCOLN FINANCIAL ADVISORS COR

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

34117

Policy instance

Insurance contract or identification number	34117
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $10,632
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	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $10,632
Insurance broker organization code?	3
Insurance broker name	LINCOLN FINANCIAL ADVISORS COR

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

34117

Policy instance

Insurance contract or identification number	34117
Number of Individuals Covered	162
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $10,117
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	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No

Potentially related plans

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Company Name:	MOUNTAIN STATES ROSEN, LLC
Employer identification number (EIN):	010548080
NAIC Classification:	311610
NAIC Description:	Animal Slaughtering and Processing