ROSEN SEYMOUR SHAPSS MARTIN & COMPANY LLP has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN
401k plan membership statisitcs for ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN
Measure | Date | Value |
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2016: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2016 401k membership |
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Total participants, beginning-of-year | 2016-01-01 | 73 |
Total number of active participants reported on line 7a of the Form 5500 | 2016-01-01 | 0 |
Total of all active and inactive participants | 2016-01-01 | 0 |
2015: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2015 401k membership |
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Total participants, beginning-of-year | 2015-01-01 | 75 |
Total number of active participants reported on line 7a of the Form 5500 | 2015-01-01 | 70 |
Total of all active and inactive participants | 2015-01-01 | 70 |
2014: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2014 401k membership |
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Total participants, beginning-of-year | 2014-01-01 | 167 |
Total number of active participants reported on line 7a of the Form 5500 | 2014-01-01 | 75 |
Total of all active and inactive participants | 2014-01-01 | 75 |
2013: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2013 401k membership |
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Total participants, beginning-of-year | 2013-01-01 | 169 |
Total number of active participants reported on line 7a of the Form 5500 | 2013-01-01 | 167 |
Total of all active and inactive participants | 2013-01-01 | 167 |
2012: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2012 401k membership |
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Total participants, beginning-of-year | 2012-01-01 | 169 |
Total number of active participants reported on line 7a of the Form 5500 | 2012-01-01 | 169 |
Total of all active and inactive participants | 2012-01-01 | 169 |
2011: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2011 401k membership |
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Total participants, beginning-of-year | 2011-01-01 | 131 |
Total number of active participants reported on line 7a of the Form 5500 | 2011-01-01 | 169 |
Total of all active and inactive participants | 2011-01-01 | 169 |
Measure | Date | Value |
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2011 : ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2011 401k financial data |
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Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2011-12-31 | No |
Was this plan covered by a fidelity bond | 2011-12-31 | No |
If this is an individual account plan, was there a blackout period | 2011-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2011-12-31 | No |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2011-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2011-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2011-12-31 | No |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2011-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2011-12-31 | No |
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2011-12-31 | No |
Did the plan have assets held for investment | 2011-12-31 | No |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-12-31 | No |
2016: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2016 form 5500 responses |
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2016-01-01 | Type of plan entity | Single employer plan |
2016-01-01 | This submission is the final filing | Yes |
2016-01-01 | Plan funding arrangement – Insurance | Yes |
2016-01-01 | Plan benefit arrangement – Insurance | Yes |
2015: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2015 form 5500 responses |
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2015-01-01 | Type of plan entity | Single employer plan |
2015-01-01 | Submission has been amended | Yes |
2015-01-01 | This submission is the final filing | Yes |
2015-01-01 | Plan funding arrangement – Insurance | Yes |
2015-01-01 | Plan benefit arrangement – Insurance | Yes |
2014: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2014 form 5500 responses |
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2014-01-01 | Type of plan entity | Single employer plan |
2014-01-01 | Plan funding arrangement – Insurance | Yes |
2014-01-01 | Plan benefit arrangement – Insurance | Yes |
2013: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2013 form 5500 responses |
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2013-01-01 | Type of plan entity | Single employer plan |
2013-01-01 | Plan funding arrangement – Insurance | Yes |
2013-01-01 | Plan benefit arrangement – Insurance | Yes |
2012: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2012 form 5500 responses |
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2012-01-01 | Type of plan entity | Single employer plan |
2012-01-01 | Plan funding arrangement – Insurance | Yes |
2012-01-01 | Plan benefit arrangement – Insurance | Yes |
2011: ROSEN SEYMOUR SHAPPS MARTIN & CO - LIFE INSURANCE PLAN 2011 form 5500 responses |
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2011-01-01 | Type of plan entity | Single employer plan |
2011-01-01 | Plan funding arrangement – Insurance | Yes |
2011-01-01 | Plan benefit arrangement – Insurance | Yes |
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 ) |
Policy contract number | TM05917536 |
Policy instance | 1 |
Insurance contract or identification number | TM05917536 | Number of Individuals Covered | 73 | Insurance policy start date | 2014-06-01 | Insurance policy end date | 2015-05-31 | Total amount of commissions paid to insurance broker | USD $3,138 | Total amount of fees paid to insurance company | USD $1,244 | Life Insurance Welfare Benefit | Yes | Other welfare benefits provided | AD&D | Welfare Benefit Premiums Paid to Carrier | USD $64,679 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $3,138 | Amount paid for insurance broker fees | 1244 | Additional information about fees paid to insurance broker | SUPPLEMENTAL COMPENSATION | Insurance broker organization code? | 3 | Insurance broker name | BWD AGENCY INC |
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COMPANION LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62243 ) |
Policy contract number | G000AFBK |
Policy instance | 3 |
Insurance contract or identification number | G000AFBK | Number of Individuals Covered | 157 | Insurance policy start date | 2013-02-01 | Insurance policy end date | 2014-02-01 | Total amount of commissions paid to insurance broker | USD $3,912 | Total amount of fees paid to insurance company | USD $3,815 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Life Insurance Welfare Benefit | Yes | Welfare Benefit Premiums Paid to Carrier | USD $48,238 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $3,912 | Amount paid for insurance broker fees | 3815 | Insurance broker organization code? | 3 | Insurance broker name | BWD GROUP LLC |
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COMPANION LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62243 ) |
Policy contract number | G000AFBK |
Policy instance | 1 |
Insurance contract or identification number | G000AFBK | Number of Individuals Covered | 147 | Insurance policy start date | 2013-02-01 | Insurance policy end date | 2014-06-01 | Total amount of commissions paid to insurance broker | USD $1,493 | Total amount of fees paid to insurance company | USD $2,155 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Life Insurance Welfare Benefit | Yes | Welfare Benefit Premiums Paid to Carrier | USD $14,926 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $1,493 | Amount paid for insurance broker fees | 2155 | Insurance broker organization code? | 3 | Insurance broker name | BWD GROUP LLC |
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MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 71412 ) |
Policy contract number | G000AFBK |
Policy instance | 2 |
Insurance contract or identification number | G000AFBK | Number of Individuals Covered | 147 | Insurance policy start date | 2014-02-01 | Insurance policy end date | 2014-06-01 | Total amount of commissions paid to insurance broker | USD $133 | Total amount of fees paid to insurance company | USD $191 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Other welfare benefits provided | AD&D | Welfare Benefit Premiums Paid to Carrier | USD $1,327 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $133 | Amount paid for insurance broker fees | 191 | Additional information about fees paid to insurance broker | OTHER COMPENSATON | Insurance broker organization code? | 3 | Insurance broker name | BWD GROUP LLC |
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LINCOLN LIFE AND ANNUITY CO OF NY (National Association of Insurance Commissioners NAIC id number: 62057 ) |
Policy contract number | 000010125702 |
Policy instance | 6 |
Insurance contract or identification number | 000010125702 | Number of Individuals Covered | 146 | Insurance policy start date | 2013-02-01 | Insurance policy end date | 2014-01-31 | Total amount of commissions paid to insurance broker | USD $2,658 | Total amount of fees paid to insurance company | USD $2,083 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Life Insurance Welfare Benefit | Yes | Welfare Benefit Premiums Paid to Carrier | USD $37,420 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $2,658 | Amount paid for insurance broker fees | 2083 | Insurance broker organization code? | 3 | Insurance broker name | BWD GROUP LLC |
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MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 71412 ) |
Policy contract number | G000AFBK |
Policy instance | 4 |
Insurance contract or identification number | G000AFBK | Number of Individuals Covered | 157 | Insurance policy start date | 2013-02-01 | Insurance policy end date | 2014-02-01 | Total amount of commissions paid to insurance broker | USD $427 | Total amount of fees paid to insurance company | USD $345 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Other welfare benefits provided | AD&D | Welfare Benefit Premiums Paid to Carrier | USD $4,266 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $427 | Amount paid for insurance broker fees | 345 | Insurance broker organization code? | 3 | Insurance broker name | BWD GROUP LLC |
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LINCOLN LIFE AND ANNUITY CO OF NY (National Association of Insurance Commissioners NAIC id number: 62057 ) |
Policy contract number | 000010125702 |
Policy instance | 5 |
Insurance contract or identification number | 000010125702 | Number of Individuals Covered | 148 | Insurance policy start date | 2014-02-01 | Insurance policy end date | 2014-05-31 | Total amount of commissions paid to insurance broker | USD $1,313 | Total amount of fees paid to insurance company | USD $564 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Life Insurance Welfare Benefit | Yes | Other welfare benefits provided | AD&D | Welfare Benefit Premiums Paid to Carrier | USD $11,284 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $1,313 | Amount paid for insurance broker fees | 564 | Insurance broker name | BWD GROUP LLC |
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COMPANION LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62243 ) |
Policy contract number | G000AFBK |
Policy instance | 1 |
Insurance contract or identification number | G000AFBK | Number of Individuals Covered | 167 | Insurance policy start date | 2012-02-01 | Insurance policy end date | 2013-02-01 | Total amount of commissions paid to insurance broker | USD $4,031 | Total amount of fees paid to insurance company | USD $6,040 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Life Insurance Welfare Benefit | Yes | Welfare Benefit Premiums Paid to Carrier | USD $51,244 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $4,031 | Amount paid for insurance broker fees | 6040 | Additional information about fees paid to insurance broker | OTHER COMPENSATION | Insurance broker organization code? | 3 | Insurance broker name | BWD GROUP LLC |
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MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 71412 ) |
Policy contract number | G000AFBK |
Policy instance | 2 |
Insurance contract or identification number | G000AFBK | Number of Individuals Covered | 167 | Insurance policy start date | 2013-01-01 | Insurance policy end date | 2013-12-31 | Total amount of commissions paid to insurance broker | USD $488 | Total amount of fees paid to insurance company | USD $560 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Other welfare benefits provided | AD&D | Welfare Benefit Premiums Paid to Carrier | USD $4,881 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $488 | Amount paid for insurance broker fees | 560 | Additional information about fees paid to insurance broker | OTHER COMPENSATION | Insurance broker organization code? | 3 | Insurance broker name | BWD GROUP LLC |
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COMPANION LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62243 ) |
Policy contract number | G000AFBK |
Policy instance | 1 |
Insurance contract or identification number | G000AFBK | Number of Individuals Covered | 169 | Insurance policy start date | 2011-02-01 | Insurance policy end date | 2012-02-01 | Total amount of commissions paid to insurance broker | USD $5,490 | Total amount of fees paid to insurance company | USD $3,237 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Life Insurance Welfare Benefit | Yes | Welfare Benefit Premiums Paid to Carrier | USD $64,739 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $5,490 | Amount paid for insurance broker fees | 3237 | Additional information about fees paid to insurance broker | OTHER FEES | Insurance broker organization code? | 5 | Insurance broker name | BWD AGENCY INC |
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MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 71412 ) |
Policy contract number | G000AFBK |
Policy instance | 2 |
Insurance contract or identification number | G000AFBK | Number of Individuals Covered | 169 | Insurance policy start date | 2012-01-01 | Insurance policy end date | 2012-12-31 | Total amount of commissions paid to insurance broker | USD $754 | Total amount of fees paid to insurance company | USD $307 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Other welfare benefits provided | AD&D | Welfare Benefit Premiums Paid to Carrier | USD $6,142 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $754 | Amount paid for insurance broker fees | 307 | Additional information about fees paid to insurance broker | FEES | Insurance broker name | BWD AGENCY INC |
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COMPANION LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62243 ) |
Policy contract number | G000AFBK |
Policy instance | 1 |
Insurance contract or identification number | G000AFBK | Number of Individuals Covered | 131 | Insurance policy start date | 2010-02-01 | Insurance policy end date | 2011-02-01 | Total amount of commissions paid to insurance broker | USD $3,700 | Total amount of fees paid to insurance company | USD $1,980 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Life Insurance Welfare Benefit | Yes | Other welfare benefits provided | AD&D | Welfare Benefit Premiums Paid to Carrier | USD $35,204 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No |
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