401k Plan data: DUCO-SCI, INC. RETIREMENT PLAN plan

DUCO-SCI, INC. RETIREMENT PLAN 401k Plan overview

Plan Name	DUCO-SCI, INC. RETIREMENT PLAN
Plan identification number	001

DUCO-SCI, INC. RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

DUCO-SCI, INC. C/O DUCO CERAMICS COMPANY has sponsored the creation of one or more 401k plans.

Company Name: DUCO-SCI, INC. C/O DUCO CERAMICS COMPANY

Employer identification number (EIN): 208307434

NAIC Classification: 335900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DUCO-SCI, INC. RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01 RICHARD ZOLINAS 2019-05-07
001 2017-01-01 RICHARD ZOLINAS 2018-06-14 RICHARD ZOLINAS 2018-06-14
001 2016-01-01 RICHARD ZOLINAS 2017-06-07
001 2015-01-01 RICHARD ZOLINAS 2016-06-21
001 2014-01-01 RICHARD ZOLINAS
001 2013-01-01 RICHARD ZOLINAS RICHARD ZOLINAS 2014-06-25
001 2012-01-01 RICHARD ZOLINAS
001 2011-01-01 JEANIE B. FRANKE
001 2010-01-01 JEANIE FRANKE
001 2009-01-01 JEANIE FRANKE

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2018-01-01	RICHARD ZOLINAS	2019-05-07
001	2017-01-01	RICHARD ZOLINAS	2018-06-14	RICHARD ZOLINAS	2018-06-14
001	2016-01-01	RICHARD ZOLINAS	2017-06-07
001	2015-01-01	RICHARD ZOLINAS	2016-06-21
001	2014-01-01	RICHARD ZOLINAS
001	2013-01-01	RICHARD ZOLINAS		RICHARD ZOLINAS	2014-06-25
001	2012-01-01	RICHARD ZOLINAS
001	2011-01-01	JEANIE B. FRANKE
001	2010-01-01	JEANIE FRANKE
001	2009-01-01	JEANIE FRANKE

Plan Statistics for DUCO-SCI, INC. RETIREMENT PLAN

401k plan membership statisitcs for DUCO-SCI, INC. RETIREMENT PLAN

Measure Date Value
2014: DUCO-SCI, INC. RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 33
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 28
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 5
Total of all active and inactive participants 2014-01-01 33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 33
Number of participants with account balances 2014-01-01 33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 2
2013: DUCO-SCI, INC. RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 28
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 29
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 1
Total of all active and inactive participants 2013-01-01 30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 30
Number of participants with account balances 2013-01-01 28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 3
2012: DUCO-SCI, INC. RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 29
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 28
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 1
Total of all active and inactive participants 2012-01-01 29
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 29
Number of participants with account balances 2012-01-01 28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 15
2011: DUCO-SCI, INC. RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 28
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 28
Number of participants with account balances 2011-01-01 28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: DUCO-SCI, INC. RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 31
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 23
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 0
Total of all active and inactive participants 2010-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 23
Number of participants with account balances 2010-01-01 21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: DUCO-SCI, INC. RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 35
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 40
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 41
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 41
Number of participants with account balances 2009-01-01 41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: DUCO-SCI, INC. RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	33
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	28
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	5
Total of all active and inactive participants	2014-01-01	33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	33
Number of participants with account balances	2014-01-01	33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	2
2013: DUCO-SCI, INC. RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	28
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	29
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	1
Total of all active and inactive participants	2013-01-01	30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	30
Number of participants with account balances	2013-01-01	28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	3
2012: DUCO-SCI, INC. RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	29
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	28
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	1
Total of all active and inactive participants	2012-01-01	29
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	29
Number of participants with account balances	2012-01-01	28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	15
2011: DUCO-SCI, INC. RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	28
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	28
Number of participants with account balances	2011-01-01	28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: DUCO-SCI, INC. RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	31
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	23
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	0
Total of all active and inactive participants	2010-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	23
Number of participants with account balances	2010-01-01	21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: DUCO-SCI, INC. RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	35
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	40
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	41
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	41
Number of participants with account balances	2009-01-01	41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on DUCO-SCI, INC. RETIREMENT PLAN

Measure	Date	Value
2014 : DUCO-SCI, INC. RETIREMENT PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total income from all sources	2014-12-31	$28,529
Expenses. Total of all expenses incurred	2014-12-31	$4,340
Benefits paid (including direct rollovers)	2014-12-31	$4,340
Total plan assets at end of year	2014-12-31	$92,280
Total plan assets at beginning of year	2014-12-31	$68,091
Value of fidelity bond covering the plan	2014-12-31	$300,000
Total contributions received or receivable from participants	2014-12-31	$0
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$0
Other income received	2014-12-31	$3,277
Net income (gross income less expenses)	2014-12-31	$24,189
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$92,280
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$68,091
Assets. Value of participant loans	2014-12-31	$0
Total contributions received or receivable from employer(s)	2014-12-31	$25,252
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2014-12-31	$0
Minimum employer required contribution for this plan year	2014-12-31	$0
Amount contributed by the employer to the plan for this plan year	2014-12-31	$0
2013 : DUCO-SCI, INC. RETIREMENT PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total income from all sources	2013-12-31	$29,675
Expenses. Total of all expenses incurred	2013-12-31	$23,537
Benefits paid (including direct rollovers)	2013-12-31	$23,537
Total plan assets at end of year	2013-12-31	$68,091
Total plan assets at beginning of year	2013-12-31	$61,953
Value of fidelity bond covering the plan	2013-12-31	$300,000
Total contributions received or receivable from participants	2013-12-31	$0
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$8,312
Net income (gross income less expenses)	2013-12-31	$6,138
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$68,091
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$61,953
Assets. Value of participant loans	2013-12-31	$0
Total contributions received or receivable from employer(s)	2013-12-31	$21,363
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2013-12-31	$0
Minimum employer required contribution for this plan year	2013-12-31	$0
Amount contributed by the employer to the plan for this plan year	2013-12-31	$0
2012 : DUCO-SCI, INC. RETIREMENT PLAN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
Total income from all sources	2012-12-31	$27,923
Expenses. Total of all expenses incurred	2012-12-31	$4,313
Benefits paid (including direct rollovers)	2012-12-31	$4,313
Total plan assets at end of year	2012-12-31	$61,953
Total plan assets at beginning of year	2012-12-31	$38,343
Value of fidelity bond covering the plan	2012-12-31	$300,000
Total contributions received or receivable from participants	2012-12-31	$0
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$4,109
Net income (gross income less expenses)	2012-12-31	$23,610
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$61,953
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$38,343
Total contributions received or receivable from employer(s)	2012-12-31	$23,814
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2012-12-31	$0
Minimum employer required contribution for this plan year	2012-12-31	$0
Amount contributed by the employer to the plan for this plan year	2012-12-31	$0
2011 : DUCO-SCI, INC. RETIREMENT PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total income from all sources	2011-12-31	$15,380
Expenses. Total of all expenses incurred	2011-12-31	$1,163
Benefits paid (including direct rollovers)	2011-12-31	$1,163
Total plan assets at end of year	2011-12-31	$38,343
Total plan assets at beginning of year	2011-12-31	$24,126
Value of fidelity bond covering the plan	2011-12-31	$300,000
Total contributions received or receivable from participants	2011-12-31	$0
Expenses. Other expenses not covered elsewhere	2011-12-31	$0
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$-335
Net income (gross income less expenses)	2011-12-31	$14,217
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$38,343
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$24,126
Assets. Value of participant loans	2011-12-31	$0
Total contributions received or receivable from employer(s)	2011-12-31	$15,715
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2011-12-31	$0
Minimum employer required contribution for this plan year	2011-12-31	$0
Amount contributed by the employer to the plan for this plan year	2011-12-31	$0
2010 : DUCO-SCI, INC. RETIREMENT PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total income from all sources	2010-12-31	$13,116
Expenses. Total of all expenses incurred	2010-12-31	$2,575
Benefits paid (including direct rollovers)	2010-12-31	$2,575
Total plan assets at end of year	2010-12-31	$24,126
Total plan assets at beginning of year	2010-12-31	$13,585
Value of fidelity bond covering the plan	2010-12-31	$100,000
Total contributions received or receivable from participants	2010-12-31	$0
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$-1,715
Net income (gross income less expenses)	2010-12-31	$10,541
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$24,126
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$13,585
Assets. Value of participant loans	2010-12-31	$0
Total contributions received or receivable from employer(s)	2010-12-31	$14,831
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$0
Amount contributed by the employer to the plan for this plan year	2010-12-31	$0

Form 5500 Responses for DUCO-SCI, INC. RETIREMENT PLAN

2014: DUCO-SCI, INC. RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2013: DUCO-SCI, INC. RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2012: DUCO-SCI, INC. RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2011: DUCO-SCI, INC. RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2010: DUCO-SCI, INC. RETIREMENT PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2009: DUCO-SCI, INC. RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	First time form 5500 has been submitted	Yes
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-813435

Policy instance

Insurance contract or identification number	GA-813435
Number of Individuals Covered	33
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $302
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $302
Insurance broker organization code?	3
Insurance broker name	WELLS FARGO ADVISORS INS AGENCY, LL

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-813435

Policy instance

Insurance contract or identification number	GA-813435
Number of Individuals Covered	28
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $111
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-813435

Policy instance

Insurance contract or identification number	GA-813435
Number of Individuals Covered	21
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $59
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $59
Insurance broker organization code?	3
Insurance broker name	WELLS FARGO ADVISORS INS AGENCY LLC

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Company Name:	DUCO-SCI, INC. C/O DUCO CERAMICS COMPANY
Employer identification number (EIN):	208307434
NAIC Classification:	335900