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ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 401k Plan overview

Plan NameROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN
Plan identification number 502

ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN Benefits

401k Plan TypeWelfare Benefit
Plan Features/Benefits
  • Life insurance
  • Temporary disability (accident and sickness)
  • Death benefits (include travel accident but not life insurance)

401k Sponsoring company profile

ROSEN SEYMOUR SHAPSS MARTIN & COMPANY LLP has sponsored the creation of one or more 401k plans.

Company Name:ROSEN SEYMOUR SHAPSS MARTIN & COMPANY LLP
Employer identification number (EIN):135653927
NAIC Classification:541211
NAIC Description:Offices of Certified Public Accountants

Additional information about ROSEN SEYMOUR SHAPSS MARTIN & COMPANY LLP

Jurisdiction of Incorporation: New York Department of State
Incorporation Date: 1998-01-02
Company Identification Number: 2213647
Legal Registered Office Address: 757 THIRD AVENUE

NEW YORK
United States of America (USA)
10017

More information about ROSEN SEYMOUR SHAPSS MARTIN & COMPANY LLP

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
5022016-01-01
5022015-01-01
5022015-01-01ALAN WILLINGER2016-10-17
5022014-01-01
5022013-01-01
5022012-01-01ALAN WILLINGER
5022011-01-01ALAN WILLINGER

Plan Statistics for ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN

401k plan membership statisitcs for ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN

Measure Date Value
2016: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-0173
Total number of active participants reported on line 7a of the Form 55002016-01-010
Total of all active and inactive participants2016-01-010
2015: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-0175
Total number of active participants reported on line 7a of the Form 55002015-01-0170
Total of all active and inactive participants2015-01-0170
2014: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01167
Total number of active participants reported on line 7a of the Form 55002014-01-0175
Total of all active and inactive participants2014-01-0175
2013: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01169
Total number of active participants reported on line 7a of the Form 55002013-01-01167
Total of all active and inactive participants2013-01-01167
2012: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01169
Total number of active participants reported on line 7a of the Form 55002012-01-01169
Total of all active and inactive participants2012-01-01169
2011: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01131
Total number of active participants reported on line 7a of the Form 55002011-01-01169
Total of all active and inactive participants2011-01-01169

Financial Data on ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN

Measure Date Value
2011 : ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2011 401k financial data
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31No
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
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
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
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
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
Did the plan have assets held for investment2011-12-31No
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

Form 5500 Responses for ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN

2016: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01This submission is the final filingYes
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan benefit arrangement – InsuranceYes
2015: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedYes
2015-01-01This submission is the final filingYes
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan benefit arrangement – InsuranceYes
2014: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan benefit arrangement – InsuranceYes
2013: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan benefit arrangement – InsuranceYes
2012: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan benefit arrangement – InsuranceYes
2011: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan benefit arrangement – InsuranceYes

Insurance Providers Used on plan

METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract numberTM05917536
Policy instance 1
Insurance contract or identification numberTM05917536
Number of Individuals Covered73
Insurance policy start date2014-06-01
Insurance policy end date2015-05-31
Total amount of commissions paid to insurance brokerUSD $3,138
Total amount of fees paid to insurance companyUSD $1,244
Life Insurance Welfare BenefitYes
Other welfare benefits providedAD&D
Welfare Benefit Premiums Paid to CarrierUSD $64,679
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,138
Amount paid for insurance broker fees1244
Additional information about fees paid to insurance brokerSUPPLEMENTAL COMPENSATION
Insurance broker organization code?3
Insurance broker nameBWD AGENCY INC
COMPANION LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62243 )
Policy contract numberG000AFBK
Policy instance 3
Insurance contract or identification numberG000AFBK
Number of Individuals Covered157
Insurance policy start date2013-02-01
Insurance policy end date2014-02-01
Total amount of commissions paid to insurance brokerUSD $3,912
Total amount of fees paid to insurance companyUSD $3,815
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Life Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $48,238
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,912
Amount paid for insurance broker fees3815
Insurance broker organization code?3
Insurance broker nameBWD GROUP LLC
COMPANION LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62243 )
Policy contract numberG000AFBK
Policy instance 1
Insurance contract or identification numberG000AFBK
Number of Individuals Covered147
Insurance policy start date2013-02-01
Insurance policy end date2014-06-01
Total amount of commissions paid to insurance brokerUSD $1,493
Total amount of fees paid to insurance companyUSD $2,155
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Life Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $14,926
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $1,493
Amount paid for insurance broker fees2155
Insurance broker organization code?3
Insurance broker nameBWD GROUP LLC
MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 71412 )
Policy contract numberG000AFBK
Policy instance 2
Insurance contract or identification numberG000AFBK
Number of Individuals Covered147
Insurance policy start date2014-02-01
Insurance policy end date2014-06-01
Total amount of commissions paid to insurance brokerUSD $133
Total amount of fees paid to insurance companyUSD $191
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Other welfare benefits providedAD&D
Welfare Benefit Premiums Paid to CarrierUSD $1,327
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $133
Amount paid for insurance broker fees191
Additional information about fees paid to insurance brokerOTHER COMPENSATON
Insurance broker organization code?3
Insurance broker nameBWD GROUP LLC
LINCOLN LIFE AND ANNUITY CO OF NY (National Association of Insurance Commissioners NAIC id number: 62057 )
Policy contract number000010125702
Policy instance 6
Insurance contract or identification number000010125702
Number of Individuals Covered146
Insurance policy start date2013-02-01
Insurance policy end date2014-01-31
Total amount of commissions paid to insurance brokerUSD $2,658
Total amount of fees paid to insurance companyUSD $2,083
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Life Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $37,420
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,658
Amount paid for insurance broker fees2083
Insurance broker organization code?3
Insurance broker nameBWD GROUP LLC
MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 71412 )
Policy contract numberG000AFBK
Policy instance 4
Insurance contract or identification numberG000AFBK
Number of Individuals Covered157
Insurance policy start date2013-02-01
Insurance policy end date2014-02-01
Total amount of commissions paid to insurance brokerUSD $427
Total amount of fees paid to insurance companyUSD $345
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Other welfare benefits providedAD&D
Welfare Benefit Premiums Paid to CarrierUSD $4,266
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $427
Amount paid for insurance broker fees345
Insurance broker organization code?3
Insurance broker nameBWD GROUP LLC
LINCOLN LIFE AND ANNUITY CO OF NY (National Association of Insurance Commissioners NAIC id number: 62057 )
Policy contract number000010125702
Policy instance 5
Insurance contract or identification number000010125702
Number of Individuals Covered148
Insurance policy start date2014-02-01
Insurance policy end date2014-05-31
Total amount of commissions paid to insurance brokerUSD $1,313
Total amount of fees paid to insurance companyUSD $564
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Life Insurance Welfare BenefitYes
Other welfare benefits providedAD&D
Welfare Benefit Premiums Paid to CarrierUSD $11,284
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $1,313
Amount paid for insurance broker fees564
Insurance broker nameBWD GROUP LLC
COMPANION LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62243 )
Policy contract numberG000AFBK
Policy instance 1
Insurance contract or identification numberG000AFBK
Number of Individuals Covered167
Insurance policy start date2012-02-01
Insurance policy end date2013-02-01
Total amount of commissions paid to insurance brokerUSD $4,031
Total amount of fees paid to insurance companyUSD $6,040
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Life Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $51,244
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,031
Amount paid for insurance broker fees6040
Additional information about fees paid to insurance brokerOTHER COMPENSATION
Insurance broker organization code?3
Insurance broker nameBWD GROUP LLC
MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 71412 )
Policy contract numberG000AFBK
Policy instance 2
Insurance contract or identification numberG000AFBK
Number of Individuals Covered167
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $488
Total amount of fees paid to insurance companyUSD $560
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Other welfare benefits providedAD&D
Welfare Benefit Premiums Paid to CarrierUSD $4,881
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $488
Amount paid for insurance broker fees560
Additional information about fees paid to insurance brokerOTHER COMPENSATION
Insurance broker organization code?3
Insurance broker nameBWD GROUP LLC
COMPANION LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62243 )
Policy contract numberG000AFBK
Policy instance 1
Insurance contract or identification numberG000AFBK
Number of Individuals Covered169
Insurance policy start date2011-02-01
Insurance policy end date2012-02-01
Total amount of commissions paid to insurance brokerUSD $5,490
Total amount of fees paid to insurance companyUSD $3,237
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Life Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $64,739
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $5,490
Amount paid for insurance broker fees3237
Additional information about fees paid to insurance brokerOTHER FEES
Insurance broker organization code?5
Insurance broker nameBWD AGENCY INC
MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 71412 )
Policy contract numberG000AFBK
Policy instance 2
Insurance contract or identification numberG000AFBK
Number of Individuals Covered169
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $754
Total amount of fees paid to insurance companyUSD $307
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Other welfare benefits providedAD&D
Welfare Benefit Premiums Paid to CarrierUSD $6,142
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $754
Amount paid for insurance broker fees307
Additional information about fees paid to insurance brokerFEES
Insurance broker nameBWD AGENCY INC
COMPANION LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62243 )
Policy contract numberG000AFBK
Policy instance 1
Insurance contract or identification numberG000AFBK
Number of Individuals Covered131
Insurance policy start date2010-02-01
Insurance policy end date2011-02-01
Total amount of commissions paid to insurance brokerUSD $3,700
Total amount of fees paid to insurance companyUSD $1,980
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Life Insurance Welfare BenefitYes
Other welfare benefits providedAD&D
Welfare Benefit Premiums Paid to CarrierUSD $35,204
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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