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OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 401k Plan overview

Plan NameOCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN
Plan identification number 001

OCEAN SURVEYS INC. SAVINGS AND RETIREMENT 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.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

OCEAN SURVEYS INC. has sponsored the creation of one or more 401k plans.

Company Name:OCEAN SURVEYS INC.
Employer identification number (EIN):060960890
NAIC Classification:541990
NAIC Description:All Other Professional, Scientific, and Technical Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012023-01-01KIM RIZY2024-07-05
0012022-01-01KIM RIZY2023-06-07
0012021-01-01KIM RIZY2022-09-30
0012020-01-01KIM RIZY2021-09-15 DAVID L BELL2021-09-15
0012019-01-01KIM RIZY2020-08-21 DAVID L. BELL2020-08-21
0012018-01-01KIM RIZY2019-08-22
0012017-01-01KIM RIZY2018-07-19
0012016-01-01KIM RIZY
0012015-01-01KIM RIZY THADDEUS NOWAK2016-08-23
0012014-01-01KIM RIZY THADDEUS NOWAK2015-08-21
0012013-01-01KIM RIZY THADDEUS NOWAK2014-07-16
0012012-01-01KIM RIZY THADDEUS NOWAK2013-08-22
0012011-01-01THADDEUS NOWAK THADDEUS NOWAK2012-06-19
0012009-01-01DOUGLAS FULLER

Plan Statistics for OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN

401k plan membership statisitcs for OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN

Measure Date Value
2016: OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-0137
Total number of active participants reported on line 7a of the Form 55002016-01-0126
Number of retired or separated participants receiving benefits2016-01-011
Number of other retired or separated participants entitled to future benefits2016-01-017
Total of all active and inactive participants2016-01-0134
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-0134
Number of participants with account balances2016-01-0133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-0142
Total number of active participants reported on line 7a of the Form 55002015-01-0129
Number of retired or separated participants receiving benefits2015-01-011
Number of other retired or separated participants entitled to future benefits2015-01-017
Total of all active and inactive participants2015-01-0137
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-0137
Number of participants with account balances2015-01-0137
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-0144
Total number of active participants reported on line 7a of the Form 55002014-01-0134
Number of retired or separated participants receiving benefits2014-01-011
Number of other retired or separated participants entitled to future benefits2014-01-017
Total of all active and inactive participants2014-01-0142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-0142
Number of participants with account balances2014-01-0142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-0145
Total number of active participants reported on line 7a of the Form 55002013-01-0138
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-016
Total of all active and inactive participants2013-01-0144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-0144
Number of participants with account balances2013-01-0140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-0151
Total number of active participants reported on line 7a of the Form 55002012-01-0138
Number of retired or separated participants receiving benefits2012-01-011
Number of other retired or separated participants entitled to future benefits2012-01-016
Total of all active and inactive participants2012-01-0145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0145
Number of participants with account balances2012-01-0143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-0153
Total number of active participants reported on line 7a of the Form 55002011-01-0137
Number of retired or separated participants receiving benefits2011-01-011
Number of other retired or separated participants entitled to future benefits2011-01-0113
Total of all active and inactive participants2011-01-0151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-0151
Number of participants with account balances2011-01-0148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-013
2009: OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-0144
Total number of active participants reported on line 7a of the Form 55002009-01-0139
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-018
Total of all active and inactive participants2009-01-0147
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-0147
Number of participants with account balances2009-01-0147
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN

Measure Date Value
2016 : OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2016 401k financial data
Total income from all sources2016-12-31$930,409
Expenses. Total of all expenses incurred2016-12-31$1,092,111
Benefits paid (including direct rollovers)2016-12-31$1,091,701
Total plan assets at end of year2016-12-31$7,910,025
Total plan assets at beginning of year2016-12-31$8,071,727
Value of fidelity bond covering the plan2016-12-31$500,000
Total contributions received or receivable from participants2016-12-31$277,419
Other income received2016-12-31$572,969
Net income (gross income less expenses)2016-12-31$-161,702
Net plan assets at end of year (total assets less liabilities)2016-12-31$7,910,025
Net plan assets at beginning of year (total assets less liabilities)2016-12-31$8,071,727
Assets. Value of participant loans2016-12-31$74,432
Total contributions received or receivable from employer(s)2016-12-31$80,021
Expenses. Administrative service providers (salaries,fees and commissions)2016-12-31$410
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
2015 : OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2015 401k financial data
Total income from all sources2015-12-31$360,189
Expenses. Total of all expenses incurred2015-12-31$386,092
Benefits paid (including direct rollovers)2015-12-31$385,567
Total plan assets at end of year2015-12-31$8,071,727
Total plan assets at beginning of year2015-12-31$8,097,630
Value of fidelity bond covering the plan2015-12-31$500,000
Total contributions received or receivable from participants2015-12-31$274,401
Contributions received from other sources (not participants or employers)2015-12-31$22,109
Other income received2015-12-31$16,961
Net income (gross income less expenses)2015-12-31$-25,903
Net plan assets at end of year (total assets less liabilities)2015-12-31$8,071,727
Net plan assets at beginning of year (total assets less liabilities)2015-12-31$8,097,630
Assets. Value of participant loans2015-12-31$47,765
Total contributions received or receivable from employer(s)2015-12-31$46,718
Expenses. Administrative service providers (salaries,fees and commissions)2015-12-31$525
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
2014 : OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2014 401k financial data
Total income from all sources2014-12-31$863,899
Expenses. Total of all expenses incurred2014-12-31$1,118,432
Benefits paid (including direct rollovers)2014-12-31$1,117,264
Total plan assets at end of year2014-12-31$8,097,630
Total plan assets at beginning of year2014-12-31$8,352,163
Value of fidelity bond covering the plan2014-12-31$500,000
Total contributions received or receivable from participants2014-12-31$345,158
Other income received2014-12-31$320,871
Net income (gross income less expenses)2014-12-31$-254,533
Net plan assets at end of year (total assets less liabilities)2014-12-31$8,097,630
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$8,352,163
Assets. Value of participant loans2014-12-31$78,444
Total contributions received or receivable from employer(s)2014-12-31$197,870
Value of corrective distributions2014-12-31$858
Expenses. Administrative service providers (salaries,fees and commissions)2014-12-31$310
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
2013 : OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2013 401k financial data
Total income from all sources2013-12-31$1,919,960
Expenses. Total of all expenses incurred2013-12-31$551,691
Benefits paid (including direct rollovers)2013-12-31$549,981
Total plan assets at end of year2013-12-31$8,352,163
Total plan assets at beginning of year2013-12-31$6,983,894
Value of fidelity bond covering the plan2013-12-31$500,000
Total contributions received or receivable from participants2013-12-31$337,657
Other income received2013-12-31$1,357,142
Net income (gross income less expenses)2013-12-31$1,368,269
Net plan assets at end of year (total assets less liabilities)2013-12-31$8,352,163
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$6,983,894
Assets. Value of participant loans2013-12-31$63,919
Total contributions received or receivable from employer(s)2013-12-31$225,161
Expenses. Administrative service providers (salaries,fees and commissions)2013-12-31$1,710
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
2012 : OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2012 401k financial data
Total income from all sources2012-12-31$1,131,249
Expenses. Total of all expenses incurred2012-12-31$638,951
Benefits paid (including direct rollovers)2012-12-31$629,267
Total plan assets at end of year2012-12-31$6,983,894
Total plan assets at beginning of year2012-12-31$6,491,596
Value of fidelity bond covering the plan2012-12-31$500,000
Total contributions received or receivable from participants2012-12-31$326,797
Contributions received from other sources (not participants or employers)2012-12-31$4,194
Other income received2012-12-31$705,005
Net income (gross income less expenses)2012-12-31$492,298
Net plan assets at end of year (total assets less liabilities)2012-12-31$6,983,894
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$6,491,596
Assets. Value of participant loans2012-12-31$50,851
Total contributions received or receivable from employer(s)2012-12-31$95,253
Value of corrective distributions2012-12-31$8,123
Expenses. Administrative service providers (salaries,fees and commissions)2012-12-31$1,561
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
2011 : OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2011 401k financial data
Total income from all sources2011-12-31$373,488
Expenses. Total of all expenses incurred2011-12-31$1,043,945
Benefits paid (including direct rollovers)2011-12-31$1,021,680
Total plan assets at end of year2011-12-31$6,491,596
Total plan assets at beginning of year2011-12-31$7,162,053
Value of fidelity bond covering the plan2011-12-31$500,000
Total contributions received or receivable from participants2011-12-31$303,568
Other income received2011-12-31$-94,185
Net income (gross income less expenses)2011-12-31$-670,457
Net plan assets at end of year (total assets less liabilities)2011-12-31$6,491,596
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$7,162,053
Assets. Value of participant loans2011-12-31$22,138
Total contributions received or receivable from employer(s)2011-12-31$164,105
Value of corrective distributions2011-12-31$21,581
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$684
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
2010 : OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2010 401k financial data
Total income from all sources2010-12-31$1,101,790
Expenses. Total of all expenses incurred2010-12-31$68,340
Benefits paid (including direct rollovers)2010-12-31$67,888
Total plan assets at end of year2010-12-31$7,162,053
Total plan assets at beginning of year2010-12-31$6,128,603
Value of fidelity bond covering the plan2010-12-31$500,000
Total contributions received or receivable from participants2010-12-31$320,470
Other income received2010-12-31$626,669
Net income (gross income less expenses)2010-12-31$1,033,450
Net plan assets at end of year (total assets less liabilities)2010-12-31$7,162,053
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$6,128,603
Assets. Value of participant loans2010-12-31$40,087
Total contributions received or receivable from employer(s)2010-12-31$154,651
Expenses. Administrative service providers (salaries,fees and commissions)2010-12-31$452
2009 : OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN

2016: OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedYes
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: OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: OCEAN SURVEYS INC. SAVINGS AND RETIREMENT PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number006163
Policy instance 1
Insurance contract or identification number006163
Number of Individuals Covered37
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $20,665
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees20665
Additional information about fees paid to insurance brokerSERVICE TO INSURER
Insurance broker organization code?4
Insurance broker nameLPL FINANCIAL LLC
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number006163
Policy instance 1
Insurance contract or identification number006163
Number of Individuals Covered42
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $19,447
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees19447
Additional information about fees paid to insurance brokerSERVICE TO INSURER
Insurance broker organization code?4
Insurance broker nameLPL FINANCIAL LLC
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number006163
Policy instance 1
Insurance contract or identification number006163
Number of Individuals Covered44
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $19,166
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees19166
Additional information about fees paid to insurance brokerSERVICE TO INSURER
Insurance broker organization code?4
Insurance broker nameLPL FINANCIAL LLC
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number006163
Policy instance 1
Insurance contract or identification number006163
Number of Individuals Covered45
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $16,961
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees16961
Additional information about fees paid to insurance brokerSERVICES TO INSURER OR PLAN
Insurance broker organization code?4
Insurance broker nameLINSCO PRIVATE LEDGER CORP
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number006163
Policy instance 1
Insurance contract or identification number006163
Number of Individuals Covered51
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $16,676
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number006163
Policy instance 1
Insurance contract or identification number006163
Number of Individuals Covered52
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $16,085
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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