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

Plan NameRETIREMENT 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 TypeDefined 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:531390
NAIC Description:Other Activities Related to Real Estate

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 SignedName of Company SponsorDate Sponsor Signed
0012023-01-01
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01AMY CHOC
0012017-01-01
0012016-01-01AMY CHOC
0012015-01-01AMY CHOC
0012014-01-01AMY CHOC
0012013-01-01AMY CHOC
0012012-01-01AMY CHOC
0012011-01-01AMY CHOC
0012009-01-01AMY 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
2023: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2023 401k membership
Total participants, beginning-of-year2023-01-01509
Total number of active participants reported on line 7a of the Form 55002023-01-01101
Number of retired or separated participants receiving benefits2023-01-01197
Number of other retired or separated participants entitled to future benefits2023-01-01161
Total of all active and inactive participants2023-01-01459
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2023-01-0137
Total participants2023-01-01496
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2023-01-010
2022: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2022 401k membership
Market value of plan assets2022-12-31156,528,074
Acturial value of plan assets2022-12-31154,735,294
Funding target for retired participants and beneficiaries receiving payment2022-12-3150,415,046
Number of terminated vested participants2022-12-31180
Fundng target for terminated vested participants2022-12-3114,890,332
Active participant vested funding target2022-12-3138,163,452
Number of active participants2022-12-31118
Total funding liabilities for active participants2022-12-3138,163,452
Total participant count2022-12-31527
Total funding target for all participants2022-12-31103,468,830
Balance at beginning of prior year after applicable adjustments2022-12-310
Prefunding balance at beginning of prior year after applicable adjustments2022-12-3129,367,981
Carryover balanced portion elected for use to offset prior years funding requirement2022-12-310
Prefunding balanced used to offset prior years funding requirement2022-12-310
Amount remaining of carryover balance2022-12-310
Amount remaining of prefunding balance2022-12-3129,367,981
Present value of excess contributions2022-12-314,673,081
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2022-12-314,908,137
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2022-12-314,908,137
Reductions in caryover balances due to elections or deemed elections2022-12-310
Reductions in prefunding balances due to elections or deemed elections2022-12-310
Balance of carryovers at beginning of current year2022-12-310
Balance of prefunding at beginning of current year2022-12-3135,013,254
Total employer contributions2022-12-315,820,217
Total employee contributions2022-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2022-12-310
Contributions made to avoid restrictions adjusted to valuation date2022-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2022-12-315,398,328
Unpaid minimum required contributions for all prior years2022-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2022-12-310
Remaining amount of unpaid minimum required contributions2022-12-310
Minimum required contributions for current year target normal cost2022-12-312,853,500
Net shortfall amortization installment of oustanding balance2022-12-310
Total funding amount beforereflecting carryover/prefunding balances2022-12-310
Additional cash requirement2022-12-310
Contributions allocatedtoward minimum required contributions for current year2022-12-315,398,328
Unpaid minimum required contributions for current year2022-12-310
Unpaid minimum required contributions for all years2022-12-310
Total participants, beginning-of-year2022-01-01526
Total number of active participants reported on line 7a of the Form 55002022-01-01104
Number of retired or separated participants receiving benefits2022-01-01194
Number of other retired or separated participants entitled to future benefits2022-01-01176
Total of all active and inactive participants2022-01-01474
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-0135
Total participants2022-01-01509
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2021 401k membership
Market value of plan assets2021-12-31157,421,595
Acturial value of plan assets2021-12-31142,339,753
Funding target for retired participants and beneficiaries receiving payment2021-12-3151,985,877
Number of terminated vested participants2021-12-31201
Fundng target for terminated vested participants2021-12-3117,251,346
Active participant vested funding target2021-12-3139,927,574
Number of active participants2021-12-31132
Total funding liabilities for active participants2021-12-3140,601,161
Total participant count2021-12-31561
Total funding target for all participants2021-12-31109,838,384
Balance at beginning of prior year after applicable adjustments2021-12-310
Prefunding balance at beginning of prior year after applicable adjustments2021-12-3126,321,277
Carryover balanced portion elected for use to offset prior years funding requirement2021-12-310
Prefunding balanced used to offset prior years funding requirement2021-12-310
Amount remaining of carryover balance2021-12-310
Amount remaining of prefunding balance2021-12-3126,321,277
Present value of excess contributions2021-12-314,642,756
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2021-12-314,895,786
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2021-12-310
Reductions in caryover balances due to elections or deemed elections2021-12-310
Reductions in prefunding balances due to elections or deemed elections2021-12-311,356,846
Balance of carryovers at beginning of current year2021-12-310
Balance of prefunding at beginning of current year2021-12-3129,367,981
Total employer contributions2021-12-315,000,000
Total employee contributions2021-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2021-12-310
Contributions made to avoid restrictions adjusted to valuation date2021-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2021-12-314,673,081
Unpaid minimum required contributions for all prior years2021-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2021-12-310
Remaining amount of unpaid minimum required contributions2021-12-310
Minimum required contributions for current year target normal cost2021-12-313,133,388
Net shortfall amortization installment of oustanding balance2021-12-310
Total funding amount beforereflecting carryover/prefunding balances2021-12-310
Carryover balance elected to use to offset funding requirement2021-12-310
Prefunding balance elected to use to offset funding requirement2021-12-310
Additional cash requirement2021-12-310
Contributions allocatedtoward minimum required contributions for current year2021-12-314,673,081
Unpaid minimum required contributions for current year2021-12-310
Unpaid minimum required contributions for all years2021-12-310
Total participants, beginning-of-year2021-01-01560
Total number of active participants reported on line 7a of the Form 55002021-01-01118
Number of retired or separated participants receiving benefits2021-01-01190
Number of other retired or separated participants entitled to future benefits2021-01-01175
Total of all active and inactive participants2021-01-01483
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-0143
Total participants2021-01-01526
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2020 401k membership
Market value of plan assets2020-12-31137,924,753
Acturial value of plan assets2020-12-31131,929,771
Funding target for retired participants and beneficiaries receiving payment2020-12-3152,067,919
Number of terminated vested participants2020-12-31213
Fundng target for terminated vested participants2020-12-3116,354,895
Active participant vested funding target2020-12-3133,538,946
Number of active participants2020-12-31134
Total funding liabilities for active participants2020-12-3134,393,787
Total participant count2020-12-31578
Total funding target for all participants2020-12-31102,816,601
Balance at beginning of prior year after applicable adjustments2020-12-310
Prefunding balance at beginning of prior year after applicable adjustments2020-12-3119,931,225
Carryover balanced portion elected for use to offset prior years funding requirement2020-12-310
Prefunding balanced used to offset prior years funding requirement2020-12-310
Amount remaining of carryover balance2020-12-310
Amount remaining of prefunding balance2020-12-3119,931,225
Present value of excess contributions2020-12-314,646,544
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2020-12-314,906,286
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2020-12-312,232,398
Reductions in caryover balances due to elections or deemed elections2020-12-310
Reductions in prefunding balances due to elections or deemed elections2020-12-310
Balance of carryovers at beginning of current year2020-12-310
Balance of prefunding at beginning of current year2020-12-3126,321,277
Total employer contributions2020-12-315,000,000
Total employee contributions2020-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2020-12-310
Contributions made to avoid restrictions adjusted to valuation date2020-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2020-12-314,642,756
Unpaid minimum required contributions for all prior years2020-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2020-12-310
Remaining amount of unpaid minimum required contributions2020-12-310
Minimum required contributions for current year target normal cost2020-12-312,791,893
Total funding amount beforereflecting carryover/prefunding balances2020-12-310
Additional cash requirement2020-12-310
Contributions allocatedtoward minimum required contributions for current year2020-12-314,642,756
Unpaid minimum required contributions for current year2020-12-310
Unpaid minimum required contributions for all years2020-12-310
Total participants, beginning-of-year2020-01-01577
Total number of active participants reported on line 7a of the Form 55002020-01-01126
Number of retired or separated participants receiving benefits2020-01-01189
Number of other retired or separated participants entitled to future benefits2020-01-01207
Total of all active and inactive participants2020-01-01522
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-0138
Total participants2020-01-01560
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2019 401k membership
Market value of plan assets2019-12-31116,112,271
Acturial value of plan assets2019-12-31123,120,640
Funding target for retired participants and beneficiaries receiving payment2019-12-3151,280,159
Number of terminated vested participants2019-12-31218
Fundng target for terminated vested participants2019-12-3114,081,675
Active participant vested funding target2019-12-3134,218,558
Number of active participants2019-12-31151
Total funding liabilities for active participants2019-12-3135,083,198
Total participant count2019-12-31644
Total funding target for all participants2019-12-31100,445,032
Balance at beginning of prior year after applicable adjustments2019-12-310
Prefunding balance at beginning of prior year after applicable adjustments2019-12-3123,479,864
Carryover balanced portion elected for use to offset prior years funding requirement2019-12-310
Prefunding balanced used to offset prior years funding requirement2019-12-310
Amount remaining of carryover balance2019-12-310
Amount remaining of prefunding balance2019-12-3123,479,864
Present value of excess contributions2019-12-312,298,268
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2019-12-312,430,648
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2019-12-310
Reductions in caryover balances due to elections or deemed elections2019-12-310
Reductions in prefunding balances due to elections or deemed elections2019-12-312,198,547
Balance of carryovers at beginning of current year2019-12-310
Balance of prefunding at beginning of current year2019-12-3119,931,225
Total employer contributions2019-12-315,000,000
Total employee contributions2019-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2019-12-310
Contributions made to avoid restrictions adjusted to valuation date2019-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2019-12-314,646,544
Unpaid minimum required contributions for all prior years2019-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2019-12-310
Remaining amount of unpaid minimum required contributions2019-12-310
Minimum required contributions for current year target normal cost2019-12-312,744,383
Net shortfall amortization installment of oustanding balance2019-12-310
Waiver amortization installment2019-12-310
Total funding amount beforereflecting carryover/prefunding balances2019-12-310
Carryover balance elected to use to offset funding requirement2019-12-310
Prefunding balance elected to use to offset funding requirement2019-12-310
Additional cash requirement2019-12-310
Contributions allocatedtoward minimum required contributions for current year2019-12-314,646,544
Unpaid minimum required contributions for current year2019-12-310
Unpaid minimum required contributions for all years2019-12-310
Total participants, beginning-of-year2019-01-01644
Total number of active participants reported on line 7a of the Form 55002019-01-01128
Number of retired or separated participants receiving benefits2019-01-01194
Number of other retired or separated participants entitled to future benefits2019-01-01218
Total of all active and inactive participants2019-01-01540
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-0137
Total participants2019-01-01577
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-013
2018: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2018 401k membership
Market value of plan assets2018-12-31133,863,194
Acturial value of plan assets2018-12-31127,480,405
Funding target for retired participants and beneficiaries receiving payment2018-12-3149,943,233
Number of terminated vested participants2018-12-31264
Fundng target for terminated vested participants2018-12-3120,267,749
Active participant vested funding target2018-12-3130,456,902
Number of active participants2018-12-31161
Total funding liabilities for active participants2018-12-3131,238,844
Total participant count2018-12-31689
Total funding target for all participants2018-12-31101,449,826
Balance at beginning of prior year after applicable adjustments2018-12-310
Prefunding balance at beginning of prior year after applicable adjustments2018-12-3133,885,501
Carryover balanced portion elected for use to offset prior years funding requirement2018-12-310
Prefunding balanced used to offset prior years funding requirement2018-12-310
Amount remaining of carryover balance2018-12-310
Amount remaining of prefunding balance2018-12-3133,885,501
Present value of excess contributions2018-12-313,992,270
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2018-12-314,229,810
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2018-12-312,400,684
Reductions in prefunding balances due to elections or deemed elections2018-12-3117,882,369
Balance of carryovers at beginning of current year2018-12-310
Balance of prefunding at beginning of current year2018-12-3123,479,864
Total employer contributions2018-12-312,500,000
Total employee contributions2018-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2018-12-310
Contributions made to avoid restrictions adjusted to valuation date2018-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2018-12-312,298,268
Liquidity shortfalls end of Q12018-12-310
Liquidity shortfalls end of Q22018-12-310
Liquidity shortfalls end of Q32018-12-310
Liquidity shortfalls end of Q42018-12-310
Unpaid minimum required contributions for all prior years2018-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2018-12-310
Remaining amount of unpaid minimum required contributions2018-12-310
Minimum required contributions for current year target normal cost2018-12-312,550,715
Net shortfall amortization installment of oustanding balance2018-12-310
Waiver amortization installment2018-12-310
Total funding amount beforereflecting carryover/prefunding balances2018-12-310
Carryover balance elected to use to offset funding requirement2018-12-310
Prefunding balance elected to use to offset funding requirement2018-12-310
Additional cash requirement2018-12-310
Contributions allocatedtoward minimum required contributions for current year2018-12-312,298,268
Unpaid minimum required contributions for current year2018-12-310
Unpaid minimum required contributions for all years2018-12-310
Total participants, beginning-of-year2018-01-01689
Total number of active participants reported on line 7a of the Form 55002018-01-01145
Number of retired or separated participants receiving benefits2018-01-01217
Number of other retired or separated participants entitled to future benefits2018-01-01224
Total of all active and inactive participants2018-01-01586
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-0158
Total participants2018-01-01644
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-016
2017: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2017 401k membership
Market value of plan assets2017-12-31117,054,126
Acturial value of plan assets2017-12-31120,200,978
Funding target for retired participants and beneficiaries receiving payment2017-12-3144,731,967
Number of terminated vested participants2017-12-31224
Fundng target for terminated vested participants2017-12-3112,302,907
Active participant vested funding target2017-12-3135,496,336
Number of active participants2017-12-31219
Total funding liabilities for active participants2017-12-3136,674,016
Total participant count2017-12-31708
Total funding target for all participants2017-12-3193,708,890
Balance at beginning of prior year after applicable adjustments2017-12-310
Prefunding balance at beginning of prior year after applicable adjustments2017-12-3127,260,509
Carryover balanced portion elected for use to offset prior years funding requirement2017-12-310
Prefunding balanced used to offset prior years funding requirement2017-12-310
Amount remaining of carryover balance2017-12-310
Amount remaining of prefunding balance2017-12-3127,260,509
Present value of excess contributions2017-12-314,569,320
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2017-12-314,850,333
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2017-12-314,850,333
Balance of carryovers at beginning of current year2017-12-310
Balance of prefunding at beginning of current year2017-12-3133,885,501
Total employer contributions2017-12-317,500,000
Total employee contributions2017-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2017-12-310
Contributions made to avoid restrictions adjusted to valuation date2017-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2017-12-316,848,569
Unpaid minimum required contributions for all prior years2017-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2017-12-310
Remaining amount of unpaid minimum required contributions2017-12-310
Minimum required contributions for current year target normal cost2017-12-312,856,299
Net shortfall amortization installment of oustanding balance2017-12-310
Waiver amortization installment2017-12-310
Total funding amount beforereflecting carryover/prefunding balances2017-12-312,856,299
Carryover balance elected to use to offset funding requirement2017-12-310
Prefunding balance elected to use to offset funding requirement2017-12-310
Additional cash requirement2017-12-312,856,299
Contributions allocatedtoward minimum required contributions for current year2017-12-316,848,569
Unpaid minimum required contributions for current year2017-12-310
Unpaid minimum required contributions for all years2017-12-310
Total participants, beginning-of-year2017-01-01708
Total number of active participants reported on line 7a of the Form 55002017-01-01156
Number of retired or separated participants receiving benefits2017-01-01210
Number of other retired or separated participants entitled to future benefits2017-01-01269
Total of all active and inactive participants2017-01-01635
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-0154
Total participants2017-01-01689
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-012
2016: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2016 401k membership
Market value of plan assets2016-12-31110,736,692
Acturial value of plan assets2016-12-31115,990,833
Funding target for retired participants and beneficiaries receiving payment2016-12-3138,993,044
Number of terminated vested participants2016-12-31224
Fundng target for terminated vested participants2016-12-3111,275,257
Active participant vested funding target2016-12-3132,957,324
Number of active participants2016-12-31228
Total funding liabilities for active participants2016-12-3135,581,568
Total participant count2016-12-31719
Total funding target for all participants2016-12-3185,849,869
Balance at beginning of prior year after applicable adjustments2016-12-310
Prefunding balance at beginning of prior year after applicable adjustments2016-12-3127,111,021
Carryover balanced portion elected for use to offset prior years funding requirement2016-12-310
Prefunding balanced used to offset prior years funding requirement2016-12-310
Amount remaining of carryover balance2016-12-310
Amount remaining of prefunding balance2016-12-3127,111,021
Present value of excess contributions2016-12-314,557,542
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance2016-12-314,846,034
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance2016-12-31529,042
Reductions in caryover balances due to elections or deemed elections2016-12-310
Reductions in prefunding balances due to elections or deemed elections2016-12-310
Balance of carryovers at beginning of current year2016-12-310
Balance of prefunding at beginning of current year2016-12-3127,260,509
Total employer contributions2016-12-315,000,000
Total employee contributions2016-12-310
Contributions allocated toward unpaid minimum require contributions from prior years2016-12-310
Contributions made to avoid restrictions adjusted to valuation date2016-12-310
Contributions allocated toward minimum required contributions for current year adjusted to valuation date2016-12-314,569,320
Unpaid minimum required contributions for all prior years2016-12-310
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years2016-12-310
Remaining amount of unpaid minimum required contributions2016-12-310
Minimum required contributions for current year target normal cost2016-12-312,880,455
Net shortfall amortization installment of oustanding balance2016-12-310
Waiver amortization installment2016-12-310
Total funding amount beforereflecting carryover/prefunding balances2016-12-310
Carryover balance elected to use to offset funding requirement2016-12-310
Prefunding balance elected to use to offset funding requirement2016-12-310
Additional cash requirement2016-12-310
Contributions allocatedtoward minimum required contributions for current year2016-12-314,569,320
Unpaid minimum required contributions for current year2016-12-310
Unpaid minimum required contributions for all years2016-12-310
Total participants, beginning-of-year2016-01-01719
Total number of active participants reported on line 7a of the Form 55002016-01-01215
Number of retired or separated participants receiving benefits2016-01-01213
Number of other retired or separated participants entitled to future benefits2016-01-01228
Total of all active and inactive participants2016-01-01656
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-0152
Total participants2016-01-01708
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-017
2015: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2015 401k membership
Total participants, beginning-of-year2015-01-01732
Total number of active participants reported on line 7a of the Form 55002015-01-01224
Number of retired or separated participants receiving benefits2015-01-01220
Number of other retired or separated participants entitled to future benefits2015-01-01228
Total of all active and inactive participants2015-01-01672
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-0147
Total participants2015-01-01719
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-019
2014: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2014 401k membership
Total participants, beginning-of-year2014-01-01743
Total number of active participants reported on line 7a of the Form 55002014-01-01232
Number of retired or separated participants receiving benefits2014-01-01220
Number of other retired or separated participants entitled to future benefits2014-01-01233
Total of all active and inactive participants2014-01-01685
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-0147
Total participants2014-01-01732
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0115
2013: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2013 401k membership
Total participants, beginning-of-year2013-01-01748
Total number of active participants reported on line 7a of the Form 55002013-01-01244
Number of retired or separated participants receiving benefits2013-01-01220
Number of other retired or separated participants entitled to future benefits2013-01-01237
Total of all active and inactive participants2013-01-01701
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-0142
Total participants2013-01-01743
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-014
2012: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2012 401k membership
Total participants, beginning-of-year2012-01-01765
Total number of active participants reported on line 7a of the Form 55002012-01-01232
Number of retired or separated participants receiving benefits2012-01-01221
Number of other retired or separated participants entitled to future benefits2012-01-01246
Total of all active and inactive participants2012-01-01699
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-0149
Total participants2012-01-01748
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0112
2011: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2011 401k membership
Total participants, beginning-of-year2011-01-01774
Total number of active participants reported on line 7a of the Form 55002011-01-01244
Number of retired or separated participants receiving benefits2011-01-01219
Number of other retired or separated participants entitled to future benefits2011-01-01252
Total of all active and inactive participants2011-01-01715
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-0150
Total participants2011-01-01765
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-019
2009: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2009 401k membership
Total participants, beginning-of-year2009-01-01793
Total number of active participants reported on line 7a of the Form 55002009-01-01266
Number of retired or separated participants receiving benefits2009-01-01219
Number of other retired or separated participants entitled to future benefits2009-01-01248
Total of all active and inactive participants2009-01-01733
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-0150
Total participants2009-01-01783
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-018

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

Measure Date Value
2023 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2023 401k financial data
Total unrealized appreciation/depreciation of assets2023-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$3,078,162
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2023-12-31$3,948,506
Total income from all sources (including contributions)2023-12-31$16,213,524
Total loss/gain on sale of assets2023-12-31$0
Total of all expenses incurred2023-12-31$9,283,734
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2023-12-31$8,753,523
Total contributions o plan (from employers,participants, others, non cash contrinutions)2023-12-31$3,423,512
Value of total assets at end of year2023-12-31$121,058,722
Value of total assets at beginning of year2023-12-31$114,999,276
Total of administrative expenses incurred including professional, contract, advisory and management fees2023-12-31$530,211
Total interest from all sources2023-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2023-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2023-12-31No
Was this plan covered by a fidelity bond2023-12-31Yes
Value of fidelity bond cover2023-12-31$25,000,000
Were there any nonexempt tranactions with any party-in-interest2023-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2023-12-31$3,058,176
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2023-12-31$3,890,769
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2023-12-31$3,056,000
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2023-12-31$3,890,000
Liabilities. Value of operating payables at end of year2023-12-31$22,162
Liabilities. Value of operating payables at beginning of year2023-12-31$58,506
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Value of net income/loss2023-12-31$6,929,790
Value of net assets at end of year (total assets less liabilities)2023-12-31$117,980,560
Value of net assets at beginning of year (total assets less liabilities)2023-12-31$111,050,770
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2023-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2023-12-31No
Were any leases to which the plan was party in default or uncollectible2023-12-31No
Investment advisory and management fees2023-12-31$294,015
Value of interest in pooled separate accounts at end of year2023-12-31$4,513,239
Value of interest in pooled separate accounts at beginning of year2023-12-31$4,715,505
Value of interest in common/collective trusts at end of year2023-12-31$109,187,750
Value of interest in common/collective trusts at beginning of year2023-12-31$98,268,730
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2023-12-31$876,382
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2023-12-31$2,304,055
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2023-12-31$2,304,055
Net investment gain or loss from common/collective trusts2023-12-31$12,790,012
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2023-12-31Yes
Was there a failure to transmit to the plan any participant contributions2023-12-31No
Has the plan failed to provide any benefit when due under the plan2023-12-31No
Contributions received in cash from employer2023-12-31$3,423,512
Employer contributions (assets) at end of year2023-12-31$3,423,175
Employer contributions (assets) at beginning of year2023-12-31$5,820,217
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2023-12-31$8,753,523
Contract administrator fees2023-12-31$180
Did the plan have assets held for investment2023-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2023-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2023-12-31No
Opinion of an independent qualified public accountant for this plan2023-12-31Unqualified
Accountancy firm name2023-12-31BDO USA, P.C.
Accountancy firm EIN2023-12-31135381590
2022 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$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 assets2022-12-31$0
Total of all expenses incurred2022-12-31$9,227,363
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$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 year2022-12-31$114,999,276
Value of total assets at beginning of year2022-12-31$159,924,734
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$281,389
Total interest from all sources2022-12-31$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 year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$5,533
Administrative expenses professional fees incurred2022-12-31$231,389
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$25,000,000
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2022-12-31$3,890,769
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-12-31$3,305,001
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2022-12-31$3,890,000
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2022-12-31$3,304,797
Liabilities. Value of operating payables at end of year2022-12-31$58,506
Liabilities. Value of operating payables at beginning of year2022-12-31$20,292
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-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)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$50,000
Value of interest in pooled separate accounts at end of year2022-12-31$4,715,505
Value of interest in pooled separate accounts at beginning of year2022-12-31$5,906,191
Value of interest in common/collective trusts at end of year2022-12-31$98,268,730
Value of interest in common/collective trusts at beginning of year2022-12-31$144,877,411
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2022-12-31$2,304,055
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2022-12-31$836,131
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2022-12-31$836,131
Net investment gain/loss from pooled separate accounts2022-12-31$-695,344
Net investment gain or loss from common/collective trusts2022-12-31$-41,451,918
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31Yes
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$5,820,217
Employer contributions (assets) at end of year2022-12-31$5,820,217
Employer contributions (assets) at beginning of year2022-12-31$5,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$8,945,974
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31BDO USA, P.C.
Accountancy firm EIN2022-12-31135381590
2021 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$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 assets2021-12-31$0
Total of all expenses incurred2021-12-31$9,744,197
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$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 year2021-12-31$159,924,734
Value of total assets at beginning of year2021-12-31$159,597,291
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$272,802
Total interest from all sources2021-12-31$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 year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$96,045
Administrative expenses professional fees incurred2021-12-31$272,802
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$25,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2021-12-31$3,305,001
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2021-12-31$2,710,205
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2021-12-31$3,304,797
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2021-12-31$2,071,200
Liabilities. Value of operating payables at end of year2021-12-31$20,292
Liabilities. Value of operating payables at beginning of year2021-12-31$45,570
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$-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)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in pooled separate accounts at end of year2021-12-31$5,906,191
Value of interest in pooled separate accounts at beginning of year2021-12-31$6,560,897
Value of interest in common/collective trusts at end of year2021-12-31$144,877,411
Value of interest in common/collective trusts at beginning of year2021-12-31$144,402,187
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2021-12-31$836,131
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2021-12-31$924,002
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2021-12-31$924,002
Asset value of US Government securities at beginning of year2021-12-31$0
Net investment gain or loss from common/collective trusts2021-12-31$3,767,276
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31Yes
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$5,000,000
Employer contributions (assets) at end of year2021-12-31$5,000,000
Employer contributions (assets) at beginning of year2021-12-31$5,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$9,471,395
Asset. Corporate debt instrument preferred debt at beginning of year2021-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2021-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2021-12-31$0
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31BDO USA, LLP
Accountancy firm EIN2021-12-31135381590
2020 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2020 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2020-12-31$20,428,710
Total unrealized appreciation/depreciation of assets2020-12-31$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 assets2020-12-31$0
Total of all expenses incurred2020-12-31$8,311,671
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$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 year2020-12-31$159,597,291
Value of total assets at beginning of year2020-12-31$138,870,859
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$906,119
Total interest from all sources2020-12-31$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 year2020-12-31No
Administrative expenses professional fees incurred2020-12-31$178,490
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$25,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Assets. Other investments not covered elsewhere at end of year2020-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$8,851,280
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$2,710,205
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$810,075
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2020-12-31$2,071,200
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2020-12-31$852,393
Administrative expenses (other) incurred2020-12-31$2,625
Liabilities. Value of operating payables at end of year2020-12-31$45,570
Liabilities. Value of operating payables at beginning of year2020-12-31$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 appraiser2020-12-31No
Value of net income/loss2020-12-31$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)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$725,004
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$2,774,564
Value of interest in pooled separate accounts at end of year2020-12-31$6,560,897
Value of interest in pooled separate accounts at beginning of year2020-12-31$8,077,450
Interest earned on other investments2020-12-31$371,823
Income. Interest from US Government securities2020-12-31$168,992
Income. Interest from corporate debt instruments2020-12-31$1,224,166
Value of interest in common/collective trusts at end of year2020-12-31$144,402,187
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2020-12-31$924,002
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2020-12-31$3,380,016
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2020-12-31$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 year2020-12-31$0
Asset value of US Government securities at beginning of year2020-12-31$26,770,534
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31Yes
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$5,000,000
Employer contributions (assets) at end of year2020-12-31$5,000,000
Employer contributions (assets) at beginning of year2020-12-31$5,000,000
Income. Dividends from common stock2020-12-31$640,865
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$7,405,552
Asset. Corporate debt instrument preferred debt at end of year2020-12-31$0
Asset. Corporate debt instrument preferred debt at beginning of year2020-12-31$26,396,319
Asset. Corporate debt instrument debt (other) at end of year2020-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2020-12-31$12,914,917
Assets. Corporate common stocks other than exployer securities at end of year2020-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2020-12-31$43,895,704
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31BDO USA, LLP
Accountancy firm EIN2020-12-31135381590
2019 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2019 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2019-12-31$15,573,836
Total unrealized appreciation/depreciation of assets2019-12-31$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 assets2019-12-31$3,670,109
Total of all expenses incurred2019-12-31$7,274,837
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$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 year2019-12-31$138,870,859
Value of total assets at beginning of year2019-12-31$116,501,865
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$835,346
Total interest from all sources2019-12-31$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 year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$13,817
Administrative expenses professional fees incurred2019-12-31$189,601
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$25,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Assets. Other investments not covered elsewhere at end of year2019-12-31$8,851,280
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$5,318,937
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-12-31$810,075
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-12-31$1,028,980
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2019-12-31$852,393
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2019-12-31$320,243
Other income not declared elsewhere2019-12-31$356,335
Administrative expenses (other) incurred2019-12-31$92,978
Liabilities. Value of operating payables at end of year2019-12-31$76,235
Liabilities. Value of operating payables at beginning of year2019-12-31$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 appraiser2019-12-31No
Value of net income/loss2019-12-31$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)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$552,767
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$2,774,564
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$2,205,375
Value of interest in pooled separate accounts at end of year2019-12-31$8,077,450
Value of interest in pooled separate accounts at beginning of year2019-12-31$8,278,493
Interest earned on other investments2019-12-31$82,415
Income. Interest from US Government securities2019-12-31$638,273
Income. Interest from corporate debt instruments2019-12-31$1,635,036
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2019-12-31$3,380,016
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2019-12-31$3,388,839
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2019-12-31$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 year2019-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$221,329
Asset value of US Government securities at end of year2019-12-31$26,770,534
Asset value of US Government securities at beginning of year2019-12-31$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 accounts2019-12-31$612,206
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31Yes
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$5,000,000
Employer contributions (assets) at end of year2019-12-31$5,000,000
Employer contributions (assets) at beginning of year2019-12-31$2,500,000
Income. Dividends from common stock2019-12-31$756,499
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$6,439,491
Asset. Corporate debt instrument preferred debt at end of year2019-12-31$26,396,319
Asset. Corporate debt instrument preferred debt at beginning of year2019-12-31$17,334,609
Asset. Corporate debt instrument debt (other) at end of year2019-12-31$12,914,917
Asset. Corporate debt instrument debt (other) at beginning of year2019-12-31$15,640,697
Assets. Corporate common stocks other than exployer securities at end of year2019-12-31$43,895,704
Assets. Corporate common stocks other than exployer securities at beginning of year2019-12-31$33,409,997
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Aggregate proceeds on sale of assets2019-12-31$100,519,873
Aggregate carrying amount (costs) on sale of assets2019-12-31$96,849,764
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Opinion of an independent qualified public accountant for this plan2019-12-31Unqualified
Accountancy firm name2019-12-31BDO USA, LLP
Accountancy firm EIN2019-12-31135381590
2018 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2018-12-31$-7,755,811
Total unrealized appreciation/depreciation of assets2018-12-31$-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 assets2018-12-31$-1,783,118
Total of all expenses incurred2018-12-31$13,450,381
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$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 year2018-12-31$116,501,865
Value of total assets at beginning of year2018-12-31$134,104,677
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$797,093
Total interest from all sources2018-12-31$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 year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$7,698
Administrative expenses professional fees incurred2018-12-31$148,552
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$25,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Assets. Other investments not covered elsewhere at end of year2018-12-31$5,318,937
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$5,968,372
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$1,028,980
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$695,807
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2018-12-31$320,243
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2018-12-31$111,366
Other income not declared elsewhere2018-12-31$190,970
Administrative expenses (other) incurred2018-12-31$103,672
Liabilities. Value of operating payables at end of year2018-12-31$41,312
Liabilities. Value of operating payables at beginning of year2018-12-31$38,667
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-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)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$544,869
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$2,205,375
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$2,512,351
Value of interest in pooled separate accounts at end of year2018-12-31$8,278,493
Value of interest in pooled separate accounts at beginning of year2018-12-31$9,182,110
Interest earned on other investments2018-12-31$84,418
Income. Interest from US Government securities2018-12-31$726,461
Income. Interest from corporate debt instruments2018-12-31$1,486,519
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2018-12-31$3,388,839
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2018-12-31$3,166,752
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2018-12-31$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 year2018-12-31$221,329
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$565,085
Asset value of US Government securities at end of year2018-12-31$27,174,609
Asset value of US Government securities at beginning of year2018-12-31$26,866,814
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-531,976
Net investment gain/loss from pooled separate accounts2018-12-31$596
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31Yes
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$2,500,000
Employer contributions (assets) at end of year2018-12-31$2,500,000
Employer contributions (assets) at beginning of year2018-12-31$7,500,000
Income. Dividends from common stock2018-12-31$656,834
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$12,653,288
Asset. Corporate debt instrument preferred debt at end of year2018-12-31$17,334,609
Asset. Corporate debt instrument preferred debt at beginning of year2018-12-31$16,496,300
Asset. Corporate debt instrument debt (other) at end of year2018-12-31$15,640,697
Asset. Corporate debt instrument debt (other) at beginning of year2018-12-31$20,875,882
Assets. Corporate common stocks other than exployer securities at end of year2018-12-31$33,409,997
Assets. Corporate common stocks other than exployer securities at beginning of year2018-12-31$40,275,204
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Aggregate proceeds on sale of assets2018-12-31$141,467,385
Aggregate carrying amount (costs) on sale of assets2018-12-31$143,250,503
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31No
Opinion of an independent qualified public accountant for this plan2018-12-31Unqualified
Accountancy firm name2018-12-31BDO USA, LLP
Accountancy firm EIN2018-12-31135381590
2017 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$8,976,991
Total unrealized appreciation/depreciation of assets2017-12-31$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 assets2017-12-31$4,327,053
Total of all expenses incurred2017-12-31$8,035,521
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$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 year2017-12-31$134,104,677
Value of total assets at beginning of year2017-12-31$117,550,556
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$909,431
Total interest from all sources2017-12-31$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 year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$11,769
Administrative expenses professional fees incurred2017-12-31$211,528
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$25,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Assets. Other investments not covered elsewhere at end of year2017-12-31$5,968,372
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$695,807
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$566,583
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2017-12-31$111,366
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2017-12-31$532,470
Other income not declared elsewhere2017-12-31$157,744
Administrative expenses (other) incurred2017-12-31$146,751
Liabilities. Value of operating payables at end of year2017-12-31$38,667
Liabilities. Value of operating payables at beginning of year2017-12-31$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 appraiser2017-12-31No
Value of net income/loss2017-12-31$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)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Investment advisory and management fees2017-12-31$551,152
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$2,512,351
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$2,978,237
Value of interest in pooled separate accounts at end of year2017-12-31$9,182,110
Value of interest in pooled separate accounts at beginning of year2017-12-31$9,837,582
Interest earned on other investments2017-12-31$100,100
Income. Interest from US Government securities2017-12-31$421,212
Income. Interest from corporate debt instruments2017-12-31$1,446,158
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$3,166,752
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-12-31$2,978,237
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-12-31$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 year2017-12-31$565,085
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$990,505
Asset value of US Government securities at end of year2017-12-31$26,866,814
Asset value of US Government securities at beginning of year2017-12-31$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 accounts2017-12-31$312,216
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31Yes
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$7,500,000
Employer contributions (assets) at end of year2017-12-31$7,500,000
Employer contributions (assets) at beginning of year2017-12-31$5,000,000
Income. Dividends from common stock2017-12-31$812,025
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$7,126,090
Asset. Corporate debt instrument preferred debt at end of year2017-12-31$16,496,300
Asset. Corporate debt instrument preferred debt at beginning of year2017-12-31$14,200,493
Asset. Corporate debt instrument debt (other) at end of year2017-12-31$20,875,882
Asset. Corporate debt instrument debt (other) at beginning of year2017-12-31$16,844,750
Assets. Corporate common stocks other than exployer securities at end of year2017-12-31$40,275,204
Assets. Corporate common stocks other than exployer securities at beginning of year2017-12-31$49,407,544
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Aggregate proceeds on sale of assets2017-12-31$147,020,823
Aggregate carrying amount (costs) on sale of assets2017-12-31$142,693,770
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Unqualified
Accountancy firm name2017-12-31BDO USA, LLP
Accountancy firm EIN2017-12-31135381590
2016 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2016-12-31$3,561,507
Total unrealized appreciation/depreciation of assets2016-12-31$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 assets2016-12-31$745,977
Total of all expenses incurred2016-12-31$6,151,775
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$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 year2016-12-31$117,550,556
Value of total assets at beginning of year2016-12-31$110,901,437
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$710,659
Total interest from all sources2016-12-31$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 year2016-12-31No
Administrative expenses professional fees incurred2016-12-31$117,215
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$25,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Assets. Other investments not covered elsewhere at end of year2016-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$6,699,529
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$566,583
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$787,174
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-12-31$532,470
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-12-31$202,510
Other income not declared elsewhere2016-12-31$55,788
Administrative expenses (other) incurred2016-12-31$332,186
Liabilities. Value of operating payables at end of year2016-12-31$43,965
Liabilities. Value of operating payables at beginning of year2016-12-31$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 appraiser2016-12-31No
Value of net income/loss2016-12-31$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)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$261,258
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$2,978,237
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$657,348
Value of interest in pooled separate accounts at end of year2016-12-31$9,837,582
Value of interest in pooled separate accounts at beginning of year2016-12-31$10,485,706
Interest earned on other investments2016-12-31$142,254
Income. Interest from US Government securities2016-12-31$182,291
Income. Interest from corporate debt instruments2016-12-31$1,614,228
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$2,978,237
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$2,874,854
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$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 year2016-12-31$990,505
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$1,456,090
Asset value of US Government securities at end of year2016-12-31$14,746,625
Asset value of US Government securities at beginning of year2016-12-31$5,812,328
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$-116,580
Net investment gain/loss from pooled separate accounts2016-12-31$338,965
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31Yes
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$5,000,000
Employer contributions (assets) at end of year2016-12-31$5,000,000
Employer contributions (assets) at beginning of year2016-12-31$5,000,000
Income. Dividends from common stock2016-12-31$929,002
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$5,441,116
Asset. Corporate debt instrument preferred debt at end of year2016-12-31$14,200,493
Asset. Corporate debt instrument preferred debt at beginning of year2016-12-31$15,647,692
Asset. Corporate debt instrument debt (other) at end of year2016-12-31$16,844,750
Asset. Corporate debt instrument debt (other) at beginning of year2016-12-31$18,411,872
Assets. Corporate common stocks other than exployer securities at end of year2016-12-31$49,407,544
Assets. Corporate common stocks other than exployer securities at beginning of year2016-12-31$43,068,844
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Aggregate proceeds on sale of assets2016-12-31$96,022,208
Aggregate carrying amount (costs) on sale of assets2016-12-31$95,276,231
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Unqualified
Accountancy firm name2016-12-31BDO USA, LLP
Accountancy firm EIN2016-12-31135381590
2015 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$-3,272,178
Total unrealized appreciation/depreciation of assets2015-12-31$-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$4,154,305
Total loss/gain on sale of assets2015-12-31$-512,021
Total of all expenses incurred2015-12-31$9,659,950
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$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 year2015-12-31$110,901,437
Value of total assets at beginning of year2015-12-31$116,501,108
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$832,596
Total interest from all sources2015-12-31$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 year2015-12-31No
Assets. Real estate other than employer real property at end of year2015-12-31$0
Assets. Real estate other than employer real property at beginning of year2015-12-31$1,193,851
Administrative expenses professional fees incurred2015-12-31$152,778
Assets. Corporate prefeered stocks other than exployer securities at end of year2015-12-31$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2015-12-31$152,944
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$25,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Assets. Other investments not covered elsewhere at end of year2015-12-31$6,699,529
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$787,174
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$223,902
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$202,510
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$330,536
Other income not declared elsewhere2015-12-31$152,877
Administrative expenses (other) incurred2015-12-31$222,534
Liabilities. Value of operating payables at end of year2015-12-31$34,000
Liabilities. Value of operating payables at beginning of year2015-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-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)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$457,284
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$657,348
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$48,658,352
Value of interest in pooled separate accounts at end of year2015-12-31$10,485,706
Value of interest in pooled separate accounts at beginning of year2015-12-31$11,495,339
Interest earned on other investments2015-12-31$128,591
Income. Interest from US Government securities2015-12-31$278,277
Income. Interest from corporate debt instruments2015-12-31$1,341,547
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$2,874,854
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$1,975,562
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$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 year2015-12-31$1,456,090
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$1,995,704
Asset value of US Government securities at end of year2015-12-31$5,812,328
Asset value of US Government securities at beginning of year2015-12-31$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 accounts2015-12-31$27,154
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31Yes
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$5,000,000
Employer contributions (assets) at end of year2015-12-31$5,000,000
Employer contributions (assets) at beginning of year2015-12-31$5,000,000
Income. Dividends from preferred stock2015-12-31$944
Income. Dividends from common stock2015-12-31$802,483
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$8,827,354
Asset. Corporate debt instrument preferred debt at end of year2015-12-31$15,647,692
Asset. Corporate debt instrument preferred debt at beginning of year2015-12-31$0
Asset. Corporate debt instrument debt (other) at end of year2015-12-31$18,411,872
Asset. Corporate debt instrument debt (other) at beginning of year2015-12-31$0
Assets. Corporate common stocks other than exployer securities at end of year2015-12-31$43,068,844
Assets. Corporate common stocks other than exployer securities at beginning of year2015-12-31$45,805,454
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Aggregate proceeds on sale of assets2015-12-31$297,958,449
Aggregate carrying amount (costs) on sale of assets2015-12-31$298,470,470
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31BDO USA, LLP
Accountancy firm EIN2015-12-31135381590
2014 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets2014-12-31$231,095
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$-2,403,733
Total unrealized appreciation/depreciation of assets2014-12-31$-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 assets2014-12-31$5,184,149
Total of all expenses incurred2014-12-31$5,509,987
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$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 year2014-12-31$116,501,108
Value of total assets at beginning of year2014-12-31$106,810,247
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$745,659
Total interest from all sources2014-12-31$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 year2014-12-31No
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 year2014-12-31$1,193,851
Assets. Real estate other than employer real property at beginning of year2014-12-31$910,760
Administrative expenses professional fees incurred2014-12-31$198,220
Assets. Corporate prefeered stocks other than exployer securities at end of year2014-12-31$152,944
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2014-12-31$260,573
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$25,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$223,902
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$121,482
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$330,536
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$180,773
Administrative expenses (other) incurred2014-12-31$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 appraiser2014-12-31No
Value of net income/loss2014-12-31$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)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$497,544
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$48,658,352
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$32,846,135
Value of interest in pooled separate accounts at end of year2014-12-31$11,495,339
Value of interest in pooled separate accounts at beginning of year2014-12-31$11,884,476
Interest earned on other investments2014-12-31$1,478,421
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$1,975,562
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$2,616,854
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$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 year2014-12-31$1,995,704
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$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 accounts2014-12-31$415,320
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31Yes
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$5,000,000
Employer contributions (assets) at end of year2014-12-31$5,000,000
Employer contributions (assets) at beginning of year2014-12-31$5,000,000
Income. Dividends from preferred stock2014-12-31$719
Income. Dividends from common stock2014-12-31$888,265
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$4,764,328
Assets. Corporate common stocks other than exployer securities at end of year2014-12-31$45,805,454
Assets. Corporate common stocks other than exployer securities at beginning of year2014-12-31$50,596,685
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Aggregate proceeds on sale of assets2014-12-31$100,279,122
Aggregate carrying amount (costs) on sale of assets2014-12-31$95,094,973
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Unqualified
Accountancy firm name2014-12-31BDO USA, LLP
Accountancy firm EIN2014-12-31135381590
2013 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets2013-12-31$-69,606
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$5,957,520
Total unrealized appreciation/depreciation of assets2013-12-31$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 assets2013-12-31$7,456,153
Total of all expenses incurred2013-12-31$7,385,909
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$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 year2013-12-31$106,810,247
Value of total assets at beginning of year2013-12-31$98,870,391
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$690,377
Total interest from all sources2013-12-31$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 year2013-12-31No
Assets. Real estate other than employer real property at end of year2013-12-31$910,760
Assets. Real estate other than employer real property at beginning of year2013-12-31$853,390
Administrative expenses professional fees incurred2013-12-31$203,795
Assets. Corporate prefeered stocks other than exployer securities at end of year2013-12-31$260,573
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2013-12-31$284,025
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$25,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$121,482
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$78,319
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$180,773
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$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 appraiser2013-12-31No
Value of net income/loss2013-12-31$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)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$486,582
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$32,846,135
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$32,386,139
Value of interest in pooled separate accounts at end of year2013-12-31$11,884,476
Value of interest in pooled separate accounts at beginning of year2013-12-31$13,230,530
Interest earned on other investments2013-12-31$2,128,162
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$2,616,854
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$3,184,038
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$3,184,038
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$2,573,282
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$3,231,509
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$-4,752,836
Net investment gain/loss from pooled separate accounts2013-12-31$-515,396
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31Yes
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$5,000,000
Employer contributions (assets) at end of year2013-12-31$5,000,000
Employer contributions (assets) at beginning of year2013-12-31$7,500,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$6,695,532
Assets. Corporate common stocks other than exployer securities at end of year2013-12-31$50,596,685
Assets. Corporate common stocks other than exployer securities at beginning of year2013-12-31$38,122,441
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Aggregate proceeds on sale of assets2013-12-31$7,456,153
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31BDO USA, LLP
Accountancy firm EIN2013-12-31135381590
2012 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets2012-12-31$6,247
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$2,342,750
Total unrealized appreciation/depreciation of assets2012-12-31$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 assets2012-12-31$3,339,802
Total of all expenses incurred2012-12-31$6,151,339
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$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 year2012-12-31$98,870,391
Value of total assets at beginning of year2012-12-31$88,058,799
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$584,898
Total interest from all sources2012-12-31$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 year2012-12-31No
Assets. Real estate other than employer real property at end of year2012-12-31$853,390
Assets. Real estate other than employer real property at beginning of year2012-12-31$472,520
Administrative expenses professional fees incurred2012-12-31$160,621
Assets. Corporate prefeered stocks other than exployer securities at end of year2012-12-31$284,025
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2012-12-31$247,454
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$25,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$78,319
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$73,353
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$59,005
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$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 appraiser2012-12-31No
Value of net income/loss2012-12-31$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)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$424,277
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$32,386,139
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$20,258,271
Value of interest in pooled separate accounts at end of year2012-12-31$13,230,530
Value of interest in pooled separate accounts at beginning of year2012-12-31$15,678,588
Interest earned on other investments2012-12-31$2,692,179
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$3,184,038
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$2,806,961
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$2,806,961
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$3,231,509
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$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 accounts2012-12-31$253,901
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31Yes
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$7,500,000
Employer contributions (assets) at end of year2012-12-31$7,500,000
Employer contributions (assets) at beginning of year2012-12-31$7,500,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$5,566,441
Assets. Corporate common stocks other than exployer securities at end of year2012-12-31$38,122,441
Assets. Corporate common stocks other than exployer securities at beginning of year2012-12-31$37,036,948
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Aggregate proceeds on sale of assets2012-12-31$3,339,802
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31BDO USA, LLP
Accountancy firm EIN2012-12-31135381590
2011 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$-518,947
Total unrealized appreciation/depreciation of assets2011-12-31$-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 assets2011-12-31$0
Total of all expenses incurred2011-12-31$4,770,801
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$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 year2011-12-31$88,058,799
Value of total assets at beginning of year2011-12-31$83,318,819
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$537,513
Total interest from all sources2011-12-31$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 year2011-12-31No
Assets. Real estate other than employer real property at end of year2011-12-31$472,520
Assets. Real estate other than employer real property at beginning of year2011-12-31$300,731
Administrative expenses professional fees incurred2011-12-31$157,915
Assets. Corporate prefeered stocks other than exployer securities at end of year2011-12-31$247,454
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2011-12-31$165,979
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$25,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$73,353
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$480,734
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2011-12-31$430,100
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$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 appraiser2011-12-31No
Value of net income/loss2011-12-31$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)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Investment advisory and management fees2011-12-31$379,598
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$20,258,271
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$15,607,945
Value of interest in pooled separate accounts at end of year2011-12-31$15,678,588
Value of interest in pooled separate accounts at beginning of year2011-12-31$15,740,200
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$2,806,961
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$1,765,561
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$1,765,561
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$3,984,704
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$4,786,504
Net investment gain/loss from pooled separate accounts2011-12-31$2,768,086
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31Yes
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$7,500,000
Employer contributions (assets) at end of year2011-12-31$7,500,000
Employer contributions (assets) at beginning of year2011-12-31$7,500,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$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 2520.101-32011-12-31No
Assets. Corporate common stocks other than exployer securities at end of year2011-12-31$37,036,948
Assets. Corporate common stocks other than exployer securities at beginning of year2011-12-31$36,971,165
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31BDO USA, LLP
Accountancy firm EIN2011-12-31135381590
2010 : RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$7,198,626
Total unrealized appreciation/depreciation of assets2010-12-31$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 assets2010-12-31$0
Total of all expenses incurred2010-12-31$4,745,804
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$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 year2010-12-31$83,318,819
Value of total assets at beginning of year2010-12-31$76,975,551
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$488,977
Total interest from all sources2010-12-31$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 year2010-12-31No
Assets. Real estate other than employer real property at end of year2010-12-31$300,731
Assets. Real estate other than employer real property at beginning of year2010-12-31$1,473,562
Administrative expenses professional fees incurred2010-12-31$154,720
Assets. Corporate prefeered stocks other than exployer securities at end of year2010-12-31$165,979
Assets. Corporate prefeered stocks other than exployer securities at beginning of year2010-12-31$75,193
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$25,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$480,734
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$6,566,302
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$668,458
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$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 appraiser2010-12-31No
Value of net income/loss2010-12-31$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)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Investment advisory and management fees2010-12-31$334,257
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$15,607,945
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$9,171,822
Value of interest in pooled separate accounts at end of year2010-12-31$15,740,200
Value of interest in pooled separate accounts at beginning of year2010-12-31$15,733,916
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$1,765,561
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$3,005,973
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$3,005,973
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$4,786,504
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$5,633,400
Net investment gain/loss from pooled separate accounts2010-12-31$2,114,611
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31Yes
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$7,500,000
Employer contributions (assets) at end of year2010-12-31$7,500,000
Employer contributions (assets) at beginning of year2010-12-31$7,500,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$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 2520.101-32010-12-31No
Assets. Corporate common stocks other than exployer securities at end of year2010-12-31$36,971,165
Assets. Corporate common stocks other than exployer securities at beginning of year2010-12-31$27,815,383
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31BDO USA, LLP
Accountancy firm EIN2010-12-31135381590

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

2023: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2023 form 5500 responses
2023-01-01Type of plan entitySingle employer plan
2023-01-01Submission has been amendedNo
2023-01-01This submission is the final filingNo
2023-01-01This return/report is a short plan year return/report (less than 12 months)No
2023-01-01Plan is a collectively bargained planNo
2023-01-01Plan funding arrangement – InsuranceYes
2023-01-01Plan funding arrangement – TrustYes
2023-01-01Plan benefit arrangement – InsuranceYes
2023-01-01Plan benefit arrangement - TrustYes
2022: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: RETIREMENT INCOME PLAN FOR SALARIED EMPLOYEES OF ROCKEFELLER GROUP INTERNATIONAL, INC. 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number6700
Policy instance 1
Insurance contract or identification number6700
Number of Individuals Covered29
Insurance policy start date2023-01-01
Insurance policy end date2023-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number6700
Policy instance 1
Insurance contract or identification number6700
Number of Individuals Covered50
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number6700
Policy instance 1
Insurance contract or identification number6700
Number of Individuals Covered50
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number6700
Policy instance 1
Insurance contract or identification number6700
Number of Individuals Covered50
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number0971
Policy instance 1
Insurance contract or identification number0971
Number of Individuals Covered0
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number6700
Policy instance 2
Insurance contract or identification number6700
Number of Individuals Covered50
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number0971
Policy instance 1
Insurance contract or identification number0971
Number of Individuals Covered43
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number6700
Policy instance 2
Insurance contract or identification number6700
Number of Individuals Covered57
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number6700
Policy instance 2
Insurance contract or identification number6700
Number of Individuals Covered60
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number0971
Policy instance 1
Insurance contract or identification number0971
Number of Individuals Covered48
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number0971
Policy instance 1
Insurance contract or identification number0971
Number of Individuals Covered63
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number6700
Policy instance 2
Insurance contract or identification number6700
Number of Individuals Covered65
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number6700
Policy instance 2
Insurance contract or identification number6700
Number of Individuals Covered68
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number0971
Policy instance 1
Insurance contract or identification number0971
Number of Individuals Covered71
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number0971
Policy instance 1
Insurance contract or identification number0971
Number of Individuals Covered74
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number6700
Policy instance 2
Insurance contract or identification number6700
Number of Individuals Covered69
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number0971
Policy instance 1
Insurance contract or identification number0971
Number of Individuals Covered80
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number6700
Policy instance 2
Insurance contract or identification number6700
Number of Individuals Covered71
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number0971
Policy instance 1
Insurance contract or identification number0971
Number of Individuals Covered87
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number6700
Policy instance 2
Insurance contract or identification number6700
Number of Individuals Covered72
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number6700
Policy instance 2
Insurance contract or identification number6700
Number of Individuals Covered74
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )
Policy contract number0971
Policy instance 1
Insurance contract or identification number0971
Number of Individuals Covered94
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No

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