RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 401k Plan overview

Plan Name	RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC.
Plan identification number	001

RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. Benefits

401k Plan Type	Defined Benefit Pension
Plan Features/Benefits	Benefits are primarily pay related Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021). Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ROCKEFELLER GROUP INTERNATIONAL, INC has sponsored the creation of one or more 401k plans.

Company Name:	ROCKEFELLER GROUP INTERNATIONAL, INC
Employer identification number (EIN):	133975924
NAIC Classification:	531310

Additional information about ROCKEFELLER GROUP INTERNATIONAL, INC

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	1997-11-17
Company Identification Number:	2199512
Legal Registered Office Address:	1271 AVENUE OF THE AMERICAS, 24th Fl ATTN: LEGAL DEPT New York United States of America (USA) 10020

More information about ROCKEFELLER GROUP INTERNATIONAL, INC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC.

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01	AMY CHOC
001	2017-01-01
001	2016-01-01	AMY CHOC
001	2015-01-01	AMY CHOC
001	2014-01-01	AMY CHOC
001	2013-01-01	AMY CHOC
001	2012-01-01	AMY CHOC
001	2011-01-01	AMY CHOC
001	2009-01-01	AMY CHOC

Plan Statistics for RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC.

401k plan membership statisitcs for RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC.

Measure	Date	Value
2022: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2022 401k membership
Market value of plan assets	2022-12-31	156,528,074
Acturial value of plan assets	2022-12-31	154,735,294
Funding target for retired participants and beneficiaries receiving payment	2022-12-31	50,415,046
Number of terminated vested participants	2022-12-31	180
Fundng target for terminated vested participants	2022-12-31	14,890,332
Active participant vested funding target	2022-12-31	38,163,452
Number of active participants	2022-12-31	118
Total funding liabilities for active participants	2022-12-31	38,163,452
Total participant count	2022-12-31	527
Total funding target for all participants	2022-12-31	103,468,830
Balance at beginning of prior year after applicable adjustments	2022-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2022-12-31	29,367,981
Carryover balanced portion elected for use to offset prior years funding requirement	2022-12-31	0
Prefunding balanced used to offset prior years funding requirement	2022-12-31	0
Amount remaining of carryover balance	2022-12-31	0
Amount remaining of prefunding balance	2022-12-31	29,367,981
Present value of excess contributions	2022-12-31	4,673,081
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2022-12-31	4,908,137
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2022-12-31	4,908,137
Reductions in caryover balances due to elections or deemed elections	2022-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2022-12-31	0
Balance of carryovers at beginning of current year	2022-12-31	0
Balance of prefunding at beginning of current year	2022-12-31	35,013,254
Total employer contributions	2022-12-31	5,820,217
Total employee contributions	2022-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2022-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2022-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2022-12-31	5,398,328
Unpaid minimum required contributions for all prior years	2022-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2022-12-31	0
Remaining amount of unpaid minimum required contributions	2022-12-31	0
Minimum required contributions for current year target normal cost	2022-12-31	2,853,500
Net shortfall amortization installment of oustanding balance	2022-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2022-12-31	0
Additional cash requirement	2022-12-31	0
Contributions allocatedtoward minimum required contributions for current year	2022-12-31	5,398,328
Unpaid minimum required contributions for current year	2022-12-31	0
Unpaid minimum required contributions for all years	2022-12-31	0
Total participants, beginning-of-year	2022-01-01	526
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	104
Number of retired or separated participants receiving benefits	2022-01-01	194
Number of other retired or separated participants entitled to future benefits	2022-01-01	176
Total of all active and inactive participants	2022-01-01	474
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	35
Total participants	2022-01-01	509
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2021 401k membership
Market value of plan assets	2021-12-31	157,421,595
Acturial value of plan assets	2021-12-31	142,339,753
Funding target for retired participants and beneficiaries receiving payment	2021-12-31	51,985,877
Number of terminated vested participants	2021-12-31	201
Fundng target for terminated vested participants	2021-12-31	17,251,346
Active participant vested funding target	2021-12-31	39,927,574
Number of active participants	2021-12-31	132
Total funding liabilities for active participants	2021-12-31	40,601,161
Total participant count	2021-12-31	561
Total funding target for all participants	2021-12-31	109,838,384
Balance at beginning of prior year after applicable adjustments	2021-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2021-12-31	26,321,277
Carryover balanced portion elected for use to offset prior years funding requirement	2021-12-31	0
Prefunding balanced used to offset prior years funding requirement	2021-12-31	0
Amount remaining of carryover balance	2021-12-31	0
Amount remaining of prefunding balance	2021-12-31	26,321,277
Present value of excess contributions	2021-12-31	4,642,756
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2021-12-31	4,895,786
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2021-12-31	0
Reductions in caryover balances due to elections or deemed elections	2021-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2021-12-31	1,356,846
Balance of carryovers at beginning of current year	2021-12-31	0
Balance of prefunding at beginning of current year	2021-12-31	29,367,981
Total employer contributions	2021-12-31	5,000,000
Total employee contributions	2021-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2021-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2021-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2021-12-31	4,673,081
Unpaid minimum required contributions for all prior years	2021-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2021-12-31	0
Remaining amount of unpaid minimum required contributions	2021-12-31	0
Minimum required contributions for current year target normal cost	2021-12-31	3,133,388
Net shortfall amortization installment of oustanding balance	2021-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2021-12-31	0
Carryover balance elected to use to offset funding requirement	2021-12-31	0
Prefunding balance elected to use to offset funding requirement	2021-12-31	0
Additional cash requirement	2021-12-31	0
Contributions allocatedtoward minimum required contributions for current year	2021-12-31	4,673,081
Unpaid minimum required contributions for current year	2021-12-31	0
Unpaid minimum required contributions for all years	2021-12-31	0
Total participants, beginning-of-year	2021-01-01	560
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	118
Number of retired or separated participants receiving benefits	2021-01-01	190
Number of other retired or separated participants entitled to future benefits	2021-01-01	175
Total of all active and inactive participants	2021-01-01	483
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	43
Total participants	2021-01-01	526
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2020 401k membership
Market value of plan assets	2020-12-31	137,924,753
Acturial value of plan assets	2020-12-31	131,929,771
Funding target for retired participants and beneficiaries receiving payment	2020-12-31	52,067,919
Number of terminated vested participants	2020-12-31	213
Fundng target for terminated vested participants	2020-12-31	16,354,895
Active participant vested funding target	2020-12-31	33,538,946
Number of active participants	2020-12-31	134
Total funding liabilities for active participants	2020-12-31	34,393,787
Total participant count	2020-12-31	578
Total funding target for all participants	2020-12-31	102,816,601
Balance at beginning of prior year after applicable adjustments	2020-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2020-12-31	19,931,225
Carryover balanced portion elected for use to offset prior years funding requirement	2020-12-31	0
Prefunding balanced used to offset prior years funding requirement	2020-12-31	0
Amount remaining of carryover balance	2020-12-31	0
Amount remaining of prefunding balance	2020-12-31	19,931,225
Present value of excess contributions	2020-12-31	4,646,544
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2020-12-31	4,906,286
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2020-12-31	2,232,398
Reductions in caryover balances due to elections or deemed elections	2020-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2020-12-31	0
Balance of carryovers at beginning of current year	2020-12-31	0
Balance of prefunding at beginning of current year	2020-12-31	26,321,277
Total employer contributions	2020-12-31	5,000,000
Total employee contributions	2020-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2020-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2020-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2020-12-31	4,642,756
Unpaid minimum required contributions for all prior years	2020-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2020-12-31	0
Remaining amount of unpaid minimum required contributions	2020-12-31	0
Minimum required contributions for current year target normal cost	2020-12-31	2,791,893
Total funding amount beforereflecting carryover/prefunding balances	2020-12-31	0
Additional cash requirement	2020-12-31	0
Contributions allocatedtoward minimum required contributions for current year	2020-12-31	4,642,756
Unpaid minimum required contributions for current year	2020-12-31	0
Unpaid minimum required contributions for all years	2020-12-31	0
Total participants, beginning-of-year	2020-01-01	577
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	126
Number of retired or separated participants receiving benefits	2020-01-01	189
Number of other retired or separated participants entitled to future benefits	2020-01-01	207
Total of all active and inactive participants	2020-01-01	522
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	38
Total participants	2020-01-01	560
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2019 401k membership
Market value of plan assets	2019-12-31	116,112,271
Acturial value of plan assets	2019-12-31	123,120,640
Funding target for retired participants and beneficiaries receiving payment	2019-12-31	51,280,159
Number of terminated vested participants	2019-12-31	218
Fundng target for terminated vested participants	2019-12-31	14,081,675
Active participant vested funding target	2019-12-31	34,218,558
Number of active participants	2019-12-31	151
Total funding liabilities for active participants	2019-12-31	35,083,198
Total participant count	2019-12-31	644
Total funding target for all participants	2019-12-31	100,445,032
Balance at beginning of prior year after applicable adjustments	2019-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2019-12-31	23,479,864
Carryover balanced portion elected for use to offset prior years funding requirement	2019-12-31	0
Prefunding balanced used to offset prior years funding requirement	2019-12-31	0
Amount remaining of carryover balance	2019-12-31	0
Amount remaining of prefunding balance	2019-12-31	23,479,864
Present value of excess contributions	2019-12-31	2,298,268
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2019-12-31	2,430,648
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2019-12-31	0
Reductions in caryover balances due to elections or deemed elections	2019-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2019-12-31	2,198,547
Balance of carryovers at beginning of current year	2019-12-31	0
Balance of prefunding at beginning of current year	2019-12-31	19,931,225
Total employer contributions	2019-12-31	5,000,000
Total employee contributions	2019-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2019-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2019-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2019-12-31	4,646,544
Unpaid minimum required contributions for all prior years	2019-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2019-12-31	0
Remaining amount of unpaid minimum required contributions	2019-12-31	0
Minimum required contributions for current year target normal cost	2019-12-31	2,744,383
Net shortfall amortization installment of oustanding balance	2019-12-31	0
Waiver amortization installment	2019-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2019-12-31	0
Carryover balance elected to use to offset funding requirement	2019-12-31	0
Prefunding balance elected to use to offset funding requirement	2019-12-31	0
Additional cash requirement	2019-12-31	0
Contributions allocatedtoward minimum required contributions for current year	2019-12-31	4,646,544
Unpaid minimum required contributions for current year	2019-12-31	0
Unpaid minimum required contributions for all years	2019-12-31	0
Total participants, beginning-of-year	2019-01-01	644
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	128
Number of retired or separated participants receiving benefits	2019-01-01	194
Number of other retired or separated participants entitled to future benefits	2019-01-01	218
Total of all active and inactive participants	2019-01-01	540
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	37
Total participants	2019-01-01	577
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	3
2018: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2018 401k membership
Market value of plan assets	2018-12-31	133,863,194
Acturial value of plan assets	2018-12-31	127,480,405
Funding target for retired participants and beneficiaries receiving payment	2018-12-31	49,943,233
Number of terminated vested participants	2018-12-31	264
Fundng target for terminated vested participants	2018-12-31	20,267,749
Active participant vested funding target	2018-12-31	30,456,902
Number of active participants	2018-12-31	161
Total funding liabilities for active participants	2018-12-31	31,238,844
Total participant count	2018-12-31	689
Total funding target for all participants	2018-12-31	101,449,826
Balance at beginning of prior year after applicable adjustments	2018-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2018-12-31	33,885,501
Carryover balanced portion elected for use to offset prior years funding requirement	2018-12-31	0
Prefunding balanced used to offset prior years funding requirement	2018-12-31	0
Amount remaining of carryover balance	2018-12-31	0
Amount remaining of prefunding balance	2018-12-31	33,885,501
Present value of excess contributions	2018-12-31	3,992,270
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2018-12-31	4,229,810
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2018-12-31	2,400,684
Reductions in prefunding balances due to elections or deemed elections	2018-12-31	17,882,369
Balance of carryovers at beginning of current year	2018-12-31	0
Balance of prefunding at beginning of current year	2018-12-31	23,479,864
Total employer contributions	2018-12-31	2,500,000
Total employee contributions	2018-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2018-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2018-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2018-12-31	2,298,268
Liquidity shortfalls end of Q1	2018-12-31	0
Liquidity shortfalls end of Q2	2018-12-31	0
Liquidity shortfalls end of Q3	2018-12-31	0
Liquidity shortfalls end of Q4	2018-12-31	0
Unpaid minimum required contributions for all prior years	2018-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2018-12-31	0
Remaining amount of unpaid minimum required contributions	2018-12-31	0
Minimum required contributions for current year target normal cost	2018-12-31	2,550,715
Net shortfall amortization installment of oustanding balance	2018-12-31	0
Waiver amortization installment	2018-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2018-12-31	0
Carryover balance elected to use to offset funding requirement	2018-12-31	0
Prefunding balance elected to use to offset funding requirement	2018-12-31	0
Additional cash requirement	2018-12-31	0
Contributions allocatedtoward minimum required contributions for current year	2018-12-31	2,298,268
Unpaid minimum required contributions for current year	2018-12-31	0
Unpaid minimum required contributions for all years	2018-12-31	0
Total participants, beginning-of-year	2018-01-01	689
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	145
Number of retired or separated participants receiving benefits	2018-01-01	217
Number of other retired or separated participants entitled to future benefits	2018-01-01	224
Total of all active and inactive participants	2018-01-01	586
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	58
Total participants	2018-01-01	644
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	6
2017: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2017 401k membership
Market value of plan assets	2017-12-31	117,054,126
Acturial value of plan assets	2017-12-31	120,200,978
Funding target for retired participants and beneficiaries receiving payment	2017-12-31	44,731,967
Number of terminated vested participants	2017-12-31	224
Fundng target for terminated vested participants	2017-12-31	12,302,907
Active participant vested funding target	2017-12-31	35,496,336
Number of active participants	2017-12-31	219
Total funding liabilities for active participants	2017-12-31	36,674,016
Total participant count	2017-12-31	708
Total funding target for all participants	2017-12-31	93,708,890
Balance at beginning of prior year after applicable adjustments	2017-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2017-12-31	27,260,509
Carryover balanced portion elected for use to offset prior years funding requirement	2017-12-31	0
Prefunding balanced used to offset prior years funding requirement	2017-12-31	0
Amount remaining of carryover balance	2017-12-31	0
Amount remaining of prefunding balance	2017-12-31	27,260,509
Present value of excess contributions	2017-12-31	4,569,320
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2017-12-31	4,850,333
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2017-12-31	4,850,333
Balance of carryovers at beginning of current year	2017-12-31	0
Balance of prefunding at beginning of current year	2017-12-31	33,885,501
Total employer contributions	2017-12-31	7,500,000
Total employee contributions	2017-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2017-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2017-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2017-12-31	6,848,569
Unpaid minimum required contributions for all prior years	2017-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2017-12-31	0
Remaining amount of unpaid minimum required contributions	2017-12-31	0
Minimum required contributions for current year target normal cost	2017-12-31	2,856,299
Net shortfall amortization installment of oustanding balance	2017-12-31	0
Waiver amortization installment	2017-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2017-12-31	2,856,299
Carryover balance elected to use to offset funding requirement	2017-12-31	0
Prefunding balance elected to use to offset funding requirement	2017-12-31	0
Additional cash requirement	2017-12-31	2,856,299
Contributions allocatedtoward minimum required contributions for current year	2017-12-31	6,848,569
Unpaid minimum required contributions for current year	2017-12-31	0
Unpaid minimum required contributions for all years	2017-12-31	0
Total participants, beginning-of-year	2017-01-01	708
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	156
Number of retired or separated participants receiving benefits	2017-01-01	210
Number of other retired or separated participants entitled to future benefits	2017-01-01	269
Total of all active and inactive participants	2017-01-01	635
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	54
Total participants	2017-01-01	689
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	2
2016: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2016 401k membership
Market value of plan assets	2016-12-31	110,736,692
Acturial value of plan assets	2016-12-31	115,990,833
Funding target for retired participants and beneficiaries receiving payment	2016-12-31	38,993,044
Number of terminated vested participants	2016-12-31	224
Fundng target for terminated vested participants	2016-12-31	11,275,257
Active participant vested funding target	2016-12-31	32,957,324
Number of active participants	2016-12-31	228
Total funding liabilities for active participants	2016-12-31	35,581,568
Total participant count	2016-12-31	719
Total funding target for all participants	2016-12-31	85,849,869
Balance at beginning of prior year after applicable adjustments	2016-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2016-12-31	27,111,021
Carryover balanced portion elected for use to offset prior years funding requirement	2016-12-31	0
Prefunding balanced used to offset prior years funding requirement	2016-12-31	0
Amount remaining of carryover balance	2016-12-31	0
Amount remaining of prefunding balance	2016-12-31	27,111,021
Present value of excess contributions	2016-12-31	4,557,542
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2016-12-31	4,846,034
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2016-12-31	529,042
Reductions in caryover balances due to elections or deemed elections	2016-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2016-12-31	0
Balance of carryovers at beginning of current year	2016-12-31	0
Balance of prefunding at beginning of current year	2016-12-31	27,260,509
Total employer contributions	2016-12-31	5,000,000
Total employee contributions	2016-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2016-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2016-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2016-12-31	4,569,320
Unpaid minimum required contributions for all prior years	2016-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2016-12-31	0
Remaining amount of unpaid minimum required contributions	2016-12-31	0
Minimum required contributions for current year target normal cost	2016-12-31	2,880,455
Net shortfall amortization installment of oustanding balance	2016-12-31	0
Waiver amortization installment	2016-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2016-12-31	0
Carryover balance elected to use to offset funding requirement	2016-12-31	0
Prefunding balance elected to use to offset funding requirement	2016-12-31	0
Additional cash requirement	2016-12-31	0
Contributions allocatedtoward minimum required contributions for current year	2016-12-31	4,569,320
Unpaid minimum required contributions for current year	2016-12-31	0
Unpaid minimum required contributions for all years	2016-12-31	0
Total participants, beginning-of-year	2016-01-01	719
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	215
Number of retired or separated participants receiving benefits	2016-01-01	213
Number of other retired or separated participants entitled to future benefits	2016-01-01	228
Total of all active and inactive participants	2016-01-01	656
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	52
Total participants	2016-01-01	708
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	7
2015: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2015 401k membership
Total participants, beginning-of-year	2015-01-01	732
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	224
Number of retired or separated participants receiving benefits	2015-01-01	220
Number of other retired or separated participants entitled to future benefits	2015-01-01	228
Total of all active and inactive participants	2015-01-01	672
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	47
Total participants	2015-01-01	719
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	9
2014: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2014 401k membership
Total participants, beginning-of-year	2014-01-01	743
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	232
Number of retired or separated participants receiving benefits	2014-01-01	220
Number of other retired or separated participants entitled to future benefits	2014-01-01	233
Total of all active and inactive participants	2014-01-01	685
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	47
Total participants	2014-01-01	732
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	15
2013: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2013 401k membership
Total participants, beginning-of-year	2013-01-01	748
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	244
Number of retired or separated participants receiving benefits	2013-01-01	220
Number of other retired or separated participants entitled to future benefits	2013-01-01	237
Total of all active and inactive participants	2013-01-01	701
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	42
Total participants	2013-01-01	743
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	4
2012: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2012 401k membership
Total participants, beginning-of-year	2012-01-01	765
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	232
Number of retired or separated participants receiving benefits	2012-01-01	221
Number of other retired or separated participants entitled to future benefits	2012-01-01	246
Total of all active and inactive participants	2012-01-01	699
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	49
Total participants	2012-01-01	748
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	12
2011: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2011 401k membership
Total participants, beginning-of-year	2011-01-01	774
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	244
Number of retired or separated participants receiving benefits	2011-01-01	219
Number of other retired or separated participants entitled to future benefits	2011-01-01	252
Total of all active and inactive participants	2011-01-01	715
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	50
Total participants	2011-01-01	765
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	9
2009: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2009 401k membership
Total participants, beginning-of-year	2009-01-01	793
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	266
Number of retired or separated participants receiving benefits	2009-01-01	219
Number of other retired or separated participants entitled to future benefits	2009-01-01	248
Total of all active and inactive participants	2009-01-01	733
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	50
Total participants	2009-01-01	783
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	8

Financial Data on RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC.

Measure	Date	Value
2022 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$3,948,506
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$3,325,089
Total income from all sources (including contributions)	2022-12-31	$-36,321,512
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$9,227,363
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$8,945,974
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$5,820,217
Value of total assets at end of year	2022-12-31	$114,999,276
Value of total assets at beginning of year	2022-12-31	$159,924,734
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$281,389
Total interest from all sources	2022-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$5,533
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$5,533
Administrative expenses professional fees incurred	2022-12-31	$231,389
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$25,000,000
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2022-12-31	$3,890,769
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2022-12-31	$3,305,001
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2022-12-31	$3,890,000
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2022-12-31	$3,304,797
Liabilities. Value of operating payables at end of year	2022-12-31	$58,506
Liabilities. Value of operating payables at beginning of year	2022-12-31	$20,292
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-45,548,875
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$111,050,770
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$156,599,645
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Investment advisory and management fees	2022-12-31	$50,000
Value of interest in pooled separate accounts at end of year	2022-12-31	$4,715,505
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$5,906,191
Value of interest in common/collective trusts at end of year	2022-12-31	$98,268,730
Value of interest in common/collective trusts at beginning of year	2022-12-31	$144,877,411
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2022-12-31	$2,304,055
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2022-12-31	$836,131
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2022-12-31	$836,131
Net investment gain/loss from pooled separate accounts	2022-12-31	$-695,344
Net investment gain or loss from common/collective trusts	2022-12-31	$-41,451,918
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$5,820,217
Employer contributions (assets) at end of year	2022-12-31	$5,820,217
Employer contributions (assets) at beginning of year	2022-12-31	$5,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$8,945,974
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	BDO USA, P.C.
Accountancy firm EIN	2022-12-31	135381590
2021 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$3,325,089
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$2,116,770
Total income from all sources (including contributions)	2021-12-31	$8,863,321
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$9,744,197
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$9,471,395
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$5,000,000
Value of total assets at end of year	2021-12-31	$159,924,734
Value of total assets at beginning of year	2021-12-31	$159,597,291
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$272,802
Total interest from all sources	2021-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$96,045
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$96,045
Administrative expenses professional fees incurred	2021-12-31	$272,802
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$25,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2021-12-31	$3,305,001
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2021-12-31	$2,710,205
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2021-12-31	$3,304,797
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2021-12-31	$2,071,200
Liabilities. Value of operating payables at end of year	2021-12-31	$20,292
Liabilities. Value of operating payables at beginning of year	2021-12-31	$45,570
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$-880,876
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$156,599,645
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$157,480,521
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in pooled separate accounts at end of year	2021-12-31	$5,906,191
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$6,560,897
Value of interest in common/collective trusts at end of year	2021-12-31	$144,877,411
Value of interest in common/collective trusts at beginning of year	2021-12-31	$144,402,187
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2021-12-31	$836,131
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2021-12-31	$924,002
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2021-12-31	$924,002
Asset value of US Government securities at beginning of year	2021-12-31	$0
Net investment gain or loss from common/collective trusts	2021-12-31	$3,767,276
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$5,000,000
Employer contributions (assets) at end of year	2021-12-31	$5,000,000
Employer contributions (assets) at beginning of year	2021-12-31	$5,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$9,471,395
Asset. Corporate debt instrument preferred debt at beginning of year	2021-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2021-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2021-12-31	$0
Did the plan have assets held for investment	2021-12-31	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	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	BDO USA, LLP
Accountancy firm EIN	2021-12-31	135381590
2020 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2020 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2020-12-31	$20,428,710
Total unrealized appreciation/depreciation of assets	2020-12-31	$20,428,710
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$2,116,770
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$928,628
Total income from all sources (including contributions)	2020-12-31	$27,849,961
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$8,311,671
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$7,405,552
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$5,000,000
Value of total assets at end of year	2020-12-31	$159,597,291
Value of total assets at beginning of year	2020-12-31	$138,870,859
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$906,119
Total interest from all sources	2020-12-31	$1,780,386
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$640,865
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Administrative expenses professional fees incurred	2020-12-31	$178,490
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$25,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Assets. Other investments not covered elsewhere at end of year	2020-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2020-12-31	$8,851,280
Value of other receiveables (less allowance for doubtful accounts) at end of year	2020-12-31	$2,710,205
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2020-12-31	$810,075
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2020-12-31	$2,071,200
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2020-12-31	$852,393
Administrative expenses (other) incurred	2020-12-31	$2,625
Liabilities. Value of operating payables at end of year	2020-12-31	$45,570
Liabilities. Value of operating payables at beginning of year	2020-12-31	$76,235
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$19,538,290
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$157,480,521
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$137,942,231
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Investment advisory and management fees	2020-12-31	$725,004
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$2,774,564
Value of interest in pooled separate accounts at end of year	2020-12-31	$6,560,897
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$8,077,450
Interest earned on other investments	2020-12-31	$371,823
Income. Interest from US Government securities	2020-12-31	$168,992
Income. Interest from corporate debt instruments	2020-12-31	$1,224,166
Value of interest in common/collective trusts at end of year	2020-12-31	$144,402,187
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$924,002
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$3,380,016
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$3,380,016
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-12-31	$15,405
Asset value of US Government securities at end of year	2020-12-31	$0
Asset value of US Government securities at beginning of year	2020-12-31	$26,770,534
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$5,000,000
Employer contributions (assets) at end of year	2020-12-31	$5,000,000
Employer contributions (assets) at beginning of year	2020-12-31	$5,000,000
Income. Dividends from common stock	2020-12-31	$640,865
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$7,405,552
Asset. Corporate debt instrument preferred debt at end of year	2020-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2020-12-31	$26,396,319
Asset. Corporate debt instrument debt (other) at end of year	2020-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2020-12-31	$12,914,917
Assets. Corporate common stocks other than exployer securities at end of year	2020-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2020-12-31	$43,895,704
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	BDO USA, LLP
Accountancy firm EIN	2020-12-31	135381590
2019 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2019 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2019-12-31	$15,573,836
Total unrealized appreciation/depreciation of assets	2019-12-31	$15,573,836
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$928,628
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$361,555
Total income from all sources (including contributions)	2019-12-31	$29,076,758
Total loss/gain on sale of assets	2019-12-31	$3,670,109
Total of all expenses incurred	2019-12-31	$7,274,837
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$6,439,491
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$5,000,000
Value of total assets at end of year	2019-12-31	$138,870,859
Value of total assets at beginning of year	2019-12-31	$116,501,865
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$835,346
Total interest from all sources	2019-12-31	$2,429,766
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$770,316
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$13,817
Administrative expenses professional fees incurred	2019-12-31	$189,601
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$25,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$8,851,280
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$5,318,937
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-12-31	$810,075
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$1,028,980
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2019-12-31	$852,393
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$320,243
Other income not declared elsewhere	2019-12-31	$356,335
Administrative expenses (other) incurred	2019-12-31	$92,978
Liabilities. Value of operating payables at end of year	2019-12-31	$76,235
Liabilities. Value of operating payables at beginning of year	2019-12-31	$41,312
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$21,801,921
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$137,942,231
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$116,140,310
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$552,767
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$2,774,564
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$2,205,375
Value of interest in pooled separate accounts at end of year	2019-12-31	$8,077,450
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$8,278,493
Interest earned on other investments	2019-12-31	$82,415
Income. Interest from US Government securities	2019-12-31	$638,273
Income. Interest from corporate debt instruments	2019-12-31	$1,635,036
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$3,380,016
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$3,388,839
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$3,388,839
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$74,042
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$221,329
Asset value of US Government securities at end of year	2019-12-31	$26,770,534
Asset value of US Government securities at beginning of year	2019-12-31	$27,174,609
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$664,190
Net investment gain/loss from pooled separate accounts	2019-12-31	$612,206
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$5,000,000
Employer contributions (assets) at end of year	2019-12-31	$5,000,000
Employer contributions (assets) at beginning of year	2019-12-31	$2,500,000
Income. Dividends from common stock	2019-12-31	$756,499
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$6,439,491
Asset. Corporate debt instrument preferred debt at end of year	2019-12-31	$26,396,319
Asset. Corporate debt instrument preferred debt at beginning of year	2019-12-31	$17,334,609
Asset. Corporate debt instrument debt (other) at end of year	2019-12-31	$12,914,917
Asset. Corporate debt instrument debt (other) at beginning of year	2019-12-31	$15,640,697
Assets. Corporate common stocks other than exployer securities at end of year	2019-12-31	$43,895,704
Assets. Corporate common stocks other than exployer securities at beginning of year	2019-12-31	$33,409,997
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Aggregate proceeds on sale of assets	2019-12-31	$100,519,873
Aggregate carrying amount (costs) on sale of assets	2019-12-31	$96,849,764
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	No
Opinion of an independent qualified public accountant for this plan	2019-12-31	Unqualified
Accountancy firm name	2019-12-31	BDO USA, LLP
Accountancy firm EIN	2019-12-31	135381590
2018 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2018-12-31	$-7,755,811
Total unrealized appreciation/depreciation of assets	2018-12-31	$-7,755,811
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$361,555
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$150,033
Total income from all sources (including contributions)	2018-12-31	$-4,363,953
Total loss/gain on sale of assets	2018-12-31	$-1,783,118
Total of all expenses incurred	2018-12-31	$13,450,381
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$12,653,288
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$2,500,000
Value of total assets at end of year	2018-12-31	$116,501,865
Value of total assets at beginning of year	2018-12-31	$134,104,677
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$797,093
Total interest from all sources	2018-12-31	$2,350,854
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$664,532
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$7,698
Administrative expenses professional fees incurred	2018-12-31	$148,552
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$25,000,000
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
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$5,318,937
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$5,968,372
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$1,028,980
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$695,807
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2018-12-31	$320,243
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$111,366
Other income not declared elsewhere	2018-12-31	$190,970
Administrative expenses (other) incurred	2018-12-31	$103,672
Liabilities. Value of operating payables at end of year	2018-12-31	$41,312
Liabilities. Value of operating payables at beginning of year	2018-12-31	$38,667
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	$-17,814,334
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$116,140,310
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$133,954,644
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	$544,869
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$2,205,375
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$2,512,351
Value of interest in pooled separate accounts at end of year	2018-12-31	$8,278,493
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$9,182,110
Interest earned on other investments	2018-12-31	$84,418
Income. Interest from US Government securities	2018-12-31	$726,461
Income. Interest from corporate debt instruments	2018-12-31	$1,486,519
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$3,388,839
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$3,166,752
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$3,166,752
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$53,456
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$221,329
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$565,085
Asset value of US Government securities at end of year	2018-12-31	$27,174,609
Asset value of US Government securities at beginning of year	2018-12-31	$26,866,814
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-531,976
Net investment gain/loss from pooled separate accounts	2018-12-31	$596
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
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	$2,500,000
Employer contributions (assets) at end of year	2018-12-31	$2,500,000
Employer contributions (assets) at beginning of year	2018-12-31	$7,500,000
Income. Dividends from common stock	2018-12-31	$656,834
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$12,653,288
Asset. Corporate debt instrument preferred debt at end of year	2018-12-31	$17,334,609
Asset. Corporate debt instrument preferred debt at beginning of year	2018-12-31	$16,496,300
Asset. Corporate debt instrument debt (other) at end of year	2018-12-31	$15,640,697
Asset. Corporate debt instrument debt (other) at beginning of year	2018-12-31	$20,875,882
Assets. Corporate common stocks other than exployer securities at end of year	2018-12-31	$33,409,997
Assets. Corporate common stocks other than exployer securities at beginning of year	2018-12-31	$40,275,204
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
Aggregate proceeds on sale of assets	2018-12-31	$141,467,385
Aggregate carrying amount (costs) on sale of assets	2018-12-31	$143,250,503
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	No
Opinion of an independent qualified public accountant for this plan	2018-12-31	Unqualified
Accountancy firm name	2018-12-31	BDO USA, LLP
Accountancy firm EIN	2018-12-31	135381590
2017 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2017-12-31	$8,976,991
Total unrealized appreciation/depreciation of assets	2017-12-31	$8,976,991
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$150,033
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$576,435
Total income from all sources (including contributions)	2017-12-31	$25,016,044
Total loss/gain on sale of assets	2017-12-31	$4,327,053
Total of all expenses incurred	2017-12-31	$8,035,521
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$7,126,090
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$7,500,000
Value of total assets at end of year	2017-12-31	$134,104,677
Value of total assets at beginning of year	2017-12-31	$117,550,556
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$909,431
Total interest from all sources	2017-12-31	$1,991,663
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$823,794
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$11,769
Administrative expenses professional fees incurred	2017-12-31	$211,528
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$25,000,000
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
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$5,968,372
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$695,807
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$566,583
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$111,366
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-12-31	$532,470
Other income not declared elsewhere	2017-12-31	$157,744
Administrative expenses (other) incurred	2017-12-31	$146,751
Liabilities. Value of operating payables at end of year	2017-12-31	$38,667
Liabilities. Value of operating payables at beginning of year	2017-12-31	$43,965
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	$16,980,523
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$133,954,644
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$116,974,121
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
Investment advisory and management fees	2017-12-31	$551,152
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$2,512,351
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$2,978,237
Value of interest in pooled separate accounts at end of year	2017-12-31	$9,182,110
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$9,837,582
Interest earned on other investments	2017-12-31	$100,100
Income. Interest from US Government securities	2017-12-31	$421,212
Income. Interest from corporate debt instruments	2017-12-31	$1,446,158
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$3,166,752
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$2,978,237
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$2,978,237
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$24,193
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$565,085
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$990,505
Asset value of US Government securities at end of year	2017-12-31	$26,866,814
Asset value of US Government securities at beginning of year	2017-12-31	$14,746,625
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$926,583
Net investment gain/loss from pooled separate accounts	2017-12-31	$312,216
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
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	$7,500,000
Employer contributions (assets) at end of year	2017-12-31	$7,500,000
Employer contributions (assets) at beginning of year	2017-12-31	$5,000,000
Income. Dividends from common stock	2017-12-31	$812,025
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$7,126,090
Asset. Corporate debt instrument preferred debt at end of year	2017-12-31	$16,496,300
Asset. Corporate debt instrument preferred debt at beginning of year	2017-12-31	$14,200,493
Asset. Corporate debt instrument debt (other) at end of year	2017-12-31	$20,875,882
Asset. Corporate debt instrument debt (other) at beginning of year	2017-12-31	$16,844,750
Assets. Corporate common stocks other than exployer securities at end of year	2017-12-31	$40,275,204
Assets. Corporate common stocks other than exployer securities at beginning of year	2017-12-31	$49,407,544
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
Aggregate proceeds on sale of assets	2017-12-31	$147,020,823
Aggregate carrying amount (costs) on sale of assets	2017-12-31	$142,693,770
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	No
Opinion of an independent qualified public accountant for this plan	2017-12-31	Unqualified
Accountancy firm name	2017-12-31	BDO USA, LLP
Accountancy firm EIN	2017-12-31	135381590
2016 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$3,561,507
Total unrealized appreciation/depreciation of assets	2016-12-31	$3,561,507
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$576,435
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$236,510
Total income from all sources (including contributions)	2016-12-31	$12,460,969
Total loss/gain on sale of assets	2016-12-31	$745,977
Total of all expenses incurred	2016-12-31	$6,151,775
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$5,441,116
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$5,000,000
Value of total assets at end of year	2016-12-31	$117,550,556
Value of total assets at beginning of year	2016-12-31	$110,901,437
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$710,659
Total interest from all sources	2016-12-31	$1,946,310
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$929,002
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Administrative expenses professional fees incurred	2016-12-31	$117,215
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$25,000,000
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
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$6,699,529
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$566,583
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$787,174
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-12-31	$532,470
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$202,510
Other income not declared elsewhere	2016-12-31	$55,788
Administrative expenses (other) incurred	2016-12-31	$332,186
Liabilities. Value of operating payables at end of year	2016-12-31	$43,965
Liabilities. Value of operating payables at beginning of year	2016-12-31	$34,000
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	$6,309,194
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$116,974,121
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$110,664,927
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
Investment advisory and management fees	2016-12-31	$261,258
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$2,978,237
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$657,348
Value of interest in pooled separate accounts at end of year	2016-12-31	$9,837,582
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$10,485,706
Interest earned on other investments	2016-12-31	$142,254
Income. Interest from US Government securities	2016-12-31	$182,291
Income. Interest from corporate debt instruments	2016-12-31	$1,614,228
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$2,978,237
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$2,874,854
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$2,874,854
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$7,537
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$990,505
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$1,456,090
Asset value of US Government securities at end of year	2016-12-31	$14,746,625
Asset value of US Government securities at beginning of year	2016-12-31	$5,812,328
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$-116,580
Net investment gain/loss from pooled separate accounts	2016-12-31	$338,965
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	Yes
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	$5,000,000
Employer contributions (assets) at end of year	2016-12-31	$5,000,000
Employer contributions (assets) at beginning of year	2016-12-31	$5,000,000
Income. Dividends from common stock	2016-12-31	$929,002
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$5,441,116
Asset. Corporate debt instrument preferred debt at end of year	2016-12-31	$14,200,493
Asset. Corporate debt instrument preferred debt at beginning of year	2016-12-31	$15,647,692
Asset. Corporate debt instrument debt (other) at end of year	2016-12-31	$16,844,750
Asset. Corporate debt instrument debt (other) at beginning of year	2016-12-31	$18,411,872
Assets. Corporate common stocks other than exployer securities at end of year	2016-12-31	$49,407,544
Assets. Corporate common stocks other than exployer securities at beginning of year	2016-12-31	$43,068,844
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
Aggregate proceeds on sale of assets	2016-12-31	$96,022,208
Aggregate carrying amount (costs) on sale of assets	2016-12-31	$95,276,231
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	No
Opinion of an independent qualified public accountant for this plan	2016-12-31	Unqualified
Accountancy firm name	2016-12-31	BDO USA, LLP
Accountancy firm EIN	2016-12-31	135381590
2015 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$-3,272,178
Total unrealized appreciation/depreciation of assets	2015-12-31	$-3,272,178
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$236,510
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$330,536
Total income from all sources (including contributions)	2015-12-31	$4,154,305
Total loss/gain on sale of assets	2015-12-31	$-512,021
Total of all expenses incurred	2015-12-31	$9,659,950
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$8,827,354
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$5,000,000
Value of total assets at end of year	2015-12-31	$110,901,437
Value of total assets at beginning of year	2015-12-31	$116,501,108
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$832,596
Total interest from all sources	2015-12-31	$1,748,814
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$803,427
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Assets. Real estate other than employer real property at end of year	2015-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2015-12-31	$1,193,851
Administrative expenses professional fees incurred	2015-12-31	$152,778
Assets. Corporate prefeered stocks other than exployer securities at end of year	2015-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2015-12-31	$152,944
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$25,000,000
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
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$6,699,529
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$787,174
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$223,902
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$202,510
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$330,536
Other income not declared elsewhere	2015-12-31	$152,877
Administrative expenses (other) incurred	2015-12-31	$222,534
Liabilities. Value of operating payables at end of year	2015-12-31	$34,000
Liabilities. Value of operating payables at beginning of year	2015-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-5,505,645
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$110,664,927
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$116,170,572
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
Investment advisory and management fees	2015-12-31	$457,284
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$657,348
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$48,658,352
Value of interest in pooled separate accounts at end of year	2015-12-31	$10,485,706
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$11,495,339
Interest earned on other investments	2015-12-31	$128,591
Income. Interest from US Government securities	2015-12-31	$278,277
Income. Interest from corporate debt instruments	2015-12-31	$1,341,547
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$2,874,854
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$1,975,562
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$1,975,562
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$399
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$1,456,090
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$1,995,704
Asset value of US Government securities at end of year	2015-12-31	$5,812,328
Asset value of US Government securities at beginning of year	2015-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$206,232
Net investment gain/loss from pooled separate accounts	2015-12-31	$27,154
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	Yes
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	$5,000,000
Employer contributions (assets) at end of year	2015-12-31	$5,000,000
Employer contributions (assets) at beginning of year	2015-12-31	$5,000,000
Income. Dividends from preferred stock	2015-12-31	$944
Income. Dividends from common stock	2015-12-31	$802,483
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$8,827,354
Asset. Corporate debt instrument preferred debt at end of year	2015-12-31	$15,647,692
Asset. Corporate debt instrument preferred debt at beginning of year	2015-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2015-12-31	$18,411,872
Asset. Corporate debt instrument debt (other) at beginning of year	2015-12-31	$0
Assets. Corporate common stocks other than exployer securities at end of year	2015-12-31	$43,068,844
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-12-31	$45,805,454
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
Aggregate proceeds on sale of assets	2015-12-31	$297,958,449
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$298,470,470
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	BDO USA, LLP
Accountancy firm EIN	2015-12-31	135381590
2014 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets	2014-12-31	$231,095
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$-2,403,733
Total unrealized appreciation/depreciation of assets	2014-12-31	$-2,172,638
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$330,536
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$180,773
Total income from all sources (including contributions)	2014-12-31	$15,051,085
Total loss/gain on sale of assets	2014-12-31	$5,184,149
Total of all expenses incurred	2014-12-31	$5,509,987
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$4,764,328
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$5,000,000
Value of total assets at end of year	2014-12-31	$116,501,108
Value of total assets at beginning of year	2014-12-31	$106,810,247
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$745,659
Total interest from all sources	2014-12-31	$1,478,751
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$1,064,192
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$175,208
Assets. Real estate other than employer real property at end of year	2014-12-31	$1,193,851
Assets. Real estate other than employer real property at beginning of year	2014-12-31	$910,760
Administrative expenses professional fees incurred	2014-12-31	$198,220
Assets. Corporate prefeered stocks other than exployer securities at end of year	2014-12-31	$152,944
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2014-12-31	$260,573
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$25,000,000
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
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$223,902
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$121,482
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$330,536
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$180,773
Administrative expenses (other) incurred	2014-12-31	$49,895
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	$9,541,098
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$116,170,572
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$106,629,474
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
Investment advisory and management fees	2014-12-31	$497,544
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$48,658,352
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$32,846,135
Value of interest in pooled separate accounts at end of year	2014-12-31	$11,495,339
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$11,884,476
Interest earned on other investments	2014-12-31	$1,478,421
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$1,975,562
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$2,616,854
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$2,616,854
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$330
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$1,995,704
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$2,573,282
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$4,081,311
Net investment gain/loss from pooled separate accounts	2014-12-31	$415,320
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	Yes
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	$5,000,000
Employer contributions (assets) at end of year	2014-12-31	$5,000,000
Employer contributions (assets) at beginning of year	2014-12-31	$5,000,000
Income. Dividends from preferred stock	2014-12-31	$719
Income. Dividends from common stock	2014-12-31	$888,265
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$4,764,328
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$45,805,454
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-12-31	$50,596,685
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
Aggregate proceeds on sale of assets	2014-12-31	$100,279,122
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$95,094,973
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	BDO USA, LLP
Accountancy firm EIN	2014-12-31	135381590
2013 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$-69,606
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$5,957,520
Total unrealized appreciation/depreciation of assets	2013-12-31	$5,887,914
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$180,773
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$59,005
Total income from all sources (including contributions)	2013-12-31	$15,203,997
Total loss/gain on sale of assets	2013-12-31	$7,456,153
Total of all expenses incurred	2013-12-31	$7,385,909
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$6,695,532
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$5,000,000
Value of total assets at end of year	2013-12-31	$106,810,247
Value of total assets at beginning of year	2013-12-31	$98,870,391
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$690,377
Total interest from all sources	2013-12-31	$2,128,162
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 year	2013-12-31	No
Assets. Real estate other than employer real property at end of year	2013-12-31	$910,760
Assets. Real estate other than employer real property at beginning of year	2013-12-31	$853,390
Administrative expenses professional fees incurred	2013-12-31	$203,795
Assets. Corporate prefeered stocks other than exployer securities at end of year	2013-12-31	$260,573
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2013-12-31	$284,025
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$25,000,000
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
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$121,482
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$78,319
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$180,773
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$59,005
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	$7,818,088
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$106,629,474
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$98,811,386
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
Investment advisory and management fees	2013-12-31	$486,582
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$32,846,135
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$32,386,139
Value of interest in pooled separate accounts at end of year	2013-12-31	$11,884,476
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$13,230,530
Interest earned on other investments	2013-12-31	$2,128,162
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$2,616,854
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$3,184,038
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$3,184,038
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$2,573,282
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$3,231,509
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$-4,752,836
Net investment gain/loss from pooled separate accounts	2013-12-31	$-515,396
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	Yes
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	$5,000,000
Employer contributions (assets) at end of year	2013-12-31	$5,000,000
Employer contributions (assets) at beginning of year	2013-12-31	$7,500,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$6,695,532
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$50,596,685
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$38,122,441
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
Aggregate proceeds on sale of assets	2013-12-31	$7,456,153
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	BDO USA, LLP
Accountancy firm EIN	2013-12-31	135381590
2012 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets	2012-12-31	$6,247
Unrealized appreciation/depreciation of other (non real estate) assets	2012-12-31	$2,342,750
Total unrealized appreciation/depreciation of assets	2012-12-31	$2,348,997
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$59,005
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$430,100
Total income from all sources (including contributions)	2012-12-31	$17,334,026
Total loss/gain on sale of assets	2012-12-31	$3,339,802
Total of all expenses incurred	2012-12-31	$6,151,339
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$5,566,441
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$7,500,000
Value of total assets at end of year	2012-12-31	$98,870,391
Value of total assets at beginning of year	2012-12-31	$88,058,799
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$584,898
Total interest from all sources	2012-12-31	$2,692,179
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
Assets. Real estate other than employer real property at end of year	2012-12-31	$853,390
Assets. Real estate other than employer real property at beginning of year	2012-12-31	$472,520
Administrative expenses professional fees incurred	2012-12-31	$160,621
Assets. Corporate prefeered stocks other than exployer securities at end of year	2012-12-31	$284,025
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2012-12-31	$247,454
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$25,000,000
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
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$78,319
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$73,353
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2012-12-31	$59,005
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-12-31	$430,100
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	$11,182,687
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$98,811,386
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$87,628,699
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
Investment advisory and management fees	2012-12-31	$424,277
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$32,386,139
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$20,258,271
Value of interest in pooled separate accounts at end of year	2012-12-31	$13,230,530
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$15,678,588
Interest earned on other investments	2012-12-31	$2,692,179
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$3,184,038
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$2,806,961
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$2,806,961
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$3,231,509
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$3,984,704
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,199,147
Net investment gain/loss from pooled separate accounts	2012-12-31	$253,901
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	Yes
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
Contributions received in cash from employer	2012-12-31	$7,500,000
Employer contributions (assets) at end of year	2012-12-31	$7,500,000
Employer contributions (assets) at beginning of year	2012-12-31	$7,500,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$5,566,441
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$38,122,441
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-12-31	$37,036,948
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
Aggregate proceeds on sale of assets	2012-12-31	$3,339,802
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	BDO USA, LLP
Accountancy firm EIN	2012-12-31	135381590
2011 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$-518,947
Total unrealized appreciation/depreciation of assets	2011-12-31	$-518,947
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$430,100
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$668,458
Total income from all sources (including contributions)	2011-12-31	$9,749,139
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$4,770,801
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$4,233,288
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$7,500,000
Value of total assets at end of year	2011-12-31	$88,058,799
Value of total assets at beginning of year	2011-12-31	$83,318,819
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$537,513
Total interest from all sources	2011-12-31	$0
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
Assets. Real estate other than employer real property at end of year	2011-12-31	$472,520
Assets. Real estate other than employer real property at beginning of year	2011-12-31	$300,731
Administrative expenses professional fees incurred	2011-12-31	$157,915
Assets. Corporate prefeered stocks other than exployer securities at end of year	2011-12-31	$247,454
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2011-12-31	$165,979
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$73,353
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$480,734
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$430,100
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$668,458
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	$4,978,338
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$87,628,699
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$82,650,361
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
Investment advisory and management fees	2011-12-31	$379,598
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$20,258,271
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$15,607,945
Value of interest in pooled separate accounts at end of year	2011-12-31	$15,678,588
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$15,740,200
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$2,806,961
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$1,765,561
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$1,765,561
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$3,984,704
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$4,786,504
Net investment gain/loss from pooled separate accounts	2011-12-31	$2,768,086
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	Yes
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	$7,500,000
Employer contributions (assets) at end of year	2011-12-31	$7,500,000
Employer contributions (assets) at beginning of year	2011-12-31	$7,500,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$4,233,288
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
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$37,036,948
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-12-31	$36,971,165
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	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	BDO USA, LLP
Accountancy firm EIN	2011-12-31	135381590
2010 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$7,198,626
Total unrealized appreciation/depreciation of assets	2010-12-31	$7,198,626
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$668,458
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$6,392,623
Total income from all sources (including contributions)	2010-12-31	$16,813,237
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$4,745,804
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$4,256,827
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$7,500,000
Value of total assets at end of year	2010-12-31	$83,318,819
Value of total assets at beginning of year	2010-12-31	$76,975,551
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$488,977
Total interest from all sources	2010-12-31	$0
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 year	2010-12-31	No
Assets. Real estate other than employer real property at end of year	2010-12-31	$300,731
Assets. Real estate other than employer real property at beginning of year	2010-12-31	$1,473,562
Administrative expenses professional fees incurred	2010-12-31	$154,720
Assets. Corporate prefeered stocks other than exployer securities at end of year	2010-12-31	$165,979
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2010-12-31	$75,193
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$480,734
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$6,566,302
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$668,458
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$6,392,623
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$12,067,433
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$82,650,361
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$70,582,928
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$334,257
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$15,607,945
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$9,171,822
Value of interest in pooled separate accounts at end of year	2010-12-31	$15,740,200
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$15,733,916
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$1,765,561
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$3,005,973
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$3,005,973
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$4,786,504
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$5,633,400
Net investment gain/loss from pooled separate accounts	2010-12-31	$2,114,611
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$7,500,000
Employer contributions (assets) at end of year	2010-12-31	$7,500,000
Employer contributions (assets) at beginning of year	2010-12-31	$7,500,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$4,256,827
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	2010-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2010-12-31	$36,971,165
Assets. Corporate common stocks other than exployer securities at beginning of year	2010-12-31	$27,815,383
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	BDO USA, LLP
Accountancy firm EIN	2010-12-31	135381590

Form 5500 Responses for RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC.

2022: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
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: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
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: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
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: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
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: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
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: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
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: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 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: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 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
2009: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	6700
Policy instance	1
Insurance contract or identification number 6700 Number of Individuals Covered 50 Insurance policy start date 2022-01-01 Insurance policy end date 2022-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	6700
Policy instance	1
Insurance contract or identification number 6700 Number of Individuals Covered 50 Insurance policy start date 2021-01-01 Insurance policy end date 2021-12-31 Are there contracts with allocated funds for individual policies? 0 Are there contracts with allocated funds for group deferred annuity? No Are there contracts with allocated funds for types other than group deferred annuity or individual? No Contract purchased, in whole or in part, to distribute benefits from a terminating 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	6700
Policy instance	1
Insurance contract or identification number 6700 Number of Individuals Covered 50 Insurance policy start date 2020-01-01 Insurance policy end date 2020-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	6700
Policy instance	2
Insurance contract or identification number 6700 Number of Individuals Covered 50 Insurance policy start date 2019-01-01 Insurance policy end date 2019-12-31 Are there contracts with allocated funds for individual policies? 0 Are there contracts with allocated funds for group deferred annuity? No Are there contracts with allocated funds for types other than group deferred annuity or individual? No Contract purchased, in whole or in part, to distribute benefits from a terminating 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	0971
Policy instance	1
Insurance contract or identification number 0971 Number of Individuals Covered 0 Insurance policy start date 2019-01-01 Insurance policy end date 2019-12-31 Are there contracts with allocated funds for individual policies? 0 Are there contracts with allocated funds for group deferred annuity? No Are there contracts with allocated funds for types other than group deferred annuity or individual? No Contract purchased, in whole or in part, to distribute benefits from a terminating 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? Yes 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	0971
Policy instance	1
Insurance contract or identification number 0971 Number of Individuals Covered 43 Insurance policy start date 2018-01-01 Insurance policy end date 2018-12-31 Are there contracts with allocated funds for individual policies? 0 Are there contracts with allocated funds for group deferred annuity? No Are there contracts with allocated funds for types other than group deferred annuity or individual? No Contract purchased, in whole or in part, to distribute benefits from a terminating 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? Yes 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	6700
Policy instance	2
Insurance contract or identification number 6700 Number of Individuals Covered 57 Insurance policy start date 2018-01-01 Insurance policy end date 2018-12-31 Are there contracts with allocated funds for individual policies? 0 Are there contracts with allocated funds for group deferred annuity? No Are there contracts with allocated funds for types other than group deferred annuity or individual? No Contract purchased, in whole or in part, to distribute benefits from a terminating 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	6700
Policy instance	2
Insurance contract or identification number 6700 Number of Individuals Covered 60 Insurance policy start date 2017-01-01 Insurance policy end date 2017-12-31 Are there contracts with allocated funds for individual policies? 0 Are there contracts with allocated funds for group deferred annuity? No Are there contracts with allocated funds for types other than group deferred annuity or individual? No Contract purchased, in whole or in part, to distribute benefits from a terminating 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	0971
Policy instance	1
Insurance contract or identification number 0971 Number of Individuals Covered 48 Insurance policy start date 2017-01-01 Insurance policy end date 2017-12-31 Are there contracts with allocated funds for individual policies? 0 Are there contracts with allocated funds for group deferred annuity? No Are there contracts with allocated funds for types other than group deferred annuity or individual? No Contract purchased, in whole or in part, to distribute benefits from a terminating 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? Yes 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	6700
Policy instance	2
Insurance contract or identification number 6700 Number of Individuals Covered 65 Insurance policy start date 2015-01-01 Insurance policy end date 2015-12-31 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	0971
Policy instance	1
Insurance contract or identification number 0971 Number of Individuals Covered 63 Insurance policy start date 2015-01-01 Insurance policy end date 2015-12-31 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? Yes 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	0971
Policy instance	1
Insurance contract or identification number 0971 Number of Individuals Covered 71 Insurance policy start date 2014-01-01 Insurance policy end date 2014-12-31 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? Yes 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	6700
Policy instance	2
Insurance contract or identification number 6700 Number of Individuals Covered 68 Insurance policy start date 2014-01-01 Insurance policy end date 2014-12-31 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	6700
Policy instance	2
Insurance contract or identification number 6700 Number of Individuals Covered 69 Insurance policy start date 2013-01-01 Insurance policy end date 2013-12-31 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	0971
Policy instance	1
Insurance contract or identification number 0971 Number of Individuals Covered 74 Insurance policy start date 2013-01-01 Insurance policy end date 2013-12-31 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	0971
Policy instance	1
Insurance contract or identification number 0971 Number of Individuals Covered 80 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	6700
Policy instance	2
Insurance contract or identification number 6700 Number of Individuals Covered 71 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 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 Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	6700
Policy instance	2
Insurance contract or identification number 6700 Number of Individuals Covered 72 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 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
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	0971
Policy instance	1
Insurance contract or identification number 0971 Number of Individuals Covered 87 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 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
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	6700
Policy instance	2
Insurance contract or identification number 6700 Number of Individuals Covered 74 Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 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
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number	0971
Policy instance	1
Insurance contract or identification number 0971 Number of Individuals Covered 94 Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 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

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• RETIREMENT INCOME SECURITY PLAN-KEEN LAW OFFICES [EIN = 470905210]
• RETIREMENT INCOME SECURITY PLAN-LITTLE SMILES DENTISTRY [EIN = 471851143]
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