401k Plan data: ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN plan

ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN 401k Plan overview

Plan Name	ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN
Plan identification number	006

ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING 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.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
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.

401k Sponsoring company profile

ATLANTIC CASTING & ENGINEERING CORP. has sponsored the creation of one or more 401k plans.

Company Name: ATLANTIC CASTING & ENGINEERING CORP.

Employer identification number (EIN): 220745345

NAIC Classification: 331500

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
006 2022-01-01
006 2021-01-01 THOMAS DAGENBACK 2022-10-17
006 2020-01-01 BRIAN MCGRADY 2022-02-15
006 2019-01-01 BRIAN MCGRADY 2020-10-15
006 2018-01-01 BRIAN MCGRADY 2019-10-14
006 2017-01-01 BRIAN MCGRADY 2018-10-15
006 2016-01-01 BRIAN MCGRADY 2017-10-16
006 2015-01-01 BRIAN MCGRADY
006 2015-01-01
006 2014-01-01 BRIAN MCGRADY
006 2014-01-01 BRIAN MCGRADY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
006	2022-01-01
006	2021-01-01	THOMAS DAGENBACK	2022-10-17
006	2020-01-01	BRIAN MCGRADY	2022-02-15
006	2019-01-01	BRIAN MCGRADY	2020-10-15
006	2018-01-01	BRIAN MCGRADY	2019-10-14
006	2017-01-01	BRIAN MCGRADY	2018-10-15
006	2016-01-01	BRIAN MCGRADY	2017-10-16
006	2015-01-01	BRIAN MCGRADY
006	2015-01-01
006	2014-01-01	BRIAN MCGRADY
006	2014-01-01	BRIAN MCGRADY

Plan Statistics for ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN

401k plan membership statisitcs for ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN

Measure Date Value
2022: ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 129
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 100
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 51
Total of all active and inactive participants 2022-01-01 151
Total participants 2022-01-01 151
Number of participants with account balances 2022-01-01 150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 8
2015: ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 150
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 147
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 23
Total of all active and inactive participants 2015-01-01 170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 170
Number of participants with account balances 2015-01-01 161
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 4
2014: ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 139
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 136
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 14
Total of all active and inactive participants 2014-01-01 150
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 150
Number of participants with account balances 2014-01-01 142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0

Measure	Date	Value
2022: ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	129
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	100
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	51
Total of all active and inactive participants	2022-01-01	151
Total participants	2022-01-01	151
Number of participants with account balances	2022-01-01	150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	8
2015: ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	150
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	147
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	23
Total of all active and inactive participants	2015-01-01	170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	170
Number of participants with account balances	2015-01-01	161
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	4
2014: ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	139
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	136
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	14
Total of all active and inactive participants	2014-01-01	150
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	150
Number of participants with account balances	2014-01-01	142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0

Financial Data on ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN

Measure	Date	Value
2022 : ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-477,361
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$920,190
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$909,588
Expenses. Certain deemed distributions of participant loans	2022-12-31	$6,752
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$670,944
Value of total assets at end of year	2022-12-31	$6,448,555
Value of total assets at beginning of year	2022-12-31	$7,846,106
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$3,850
Total interest from all sources	2022-12-31	$8,039
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$450,757
Participant contributions at end of year	2022-12-31	$235,672
Participant contributions at beginning of year	2022-12-31	$177,397
Participant contributions at end of year	2022-12-31	$14,510
Participant contributions at beginning of year	2022-12-31	$14,283
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-1,397,551
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$6,448,555
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$7,846,106
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in pooled separate accounts at end of year	2022-12-31	$4,880,945
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$7,277,604
Interest on participant loans	2022-12-31	$8,039
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$1,284,410
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$231,996
Net investment gain/loss from pooled separate accounts	2022-12-31	$-1,156,344
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$220,187
Employer contributions (assets) at end of year	2022-12-31	$33,018
Employer contributions (assets) at beginning of year	2022-12-31	$144,826
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$909,588
Contract administrator fees	2022-12-31	$3,850
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Qualified
Accountancy firm name	2022-12-31	NISIVOCCIA LLP
Accountancy firm EIN	2022-12-31	221914888
2015 : ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$485,948
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$183,572
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$159,749
Expenses. Certain deemed distributions of participant loans	2015-12-31	$19,323
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$493,073
Value of total assets at end of year	2015-12-31	$4,756,631
Value of total assets at beginning of year	2015-12-31	$4,454,255
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$4,500
Total interest from all sources	2015-12-31	$12,028
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$239,604
Participant contributions at end of year	2015-12-31	$249,786
Participant contributions at beginning of year	2015-12-31	$226,514
Participant contributions at end of year	2015-12-31	$9,900
Participant contributions at beginning of year	2015-12-31	$1,437
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$302,376
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$4,756,631
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$4,454,255
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in pooled separate accounts at end of year	2015-12-31	$3,554,034
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$3,322,282
Interest on participant loans	2015-12-31	$12,028
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$821,706
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$801,301
Net investment gain/loss from pooled separate accounts	2015-12-31	$-19,153
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$253,469
Employer contributions (assets) at end of year	2015-12-31	$121,205
Employer contributions (assets) at beginning of year	2015-12-31	$102,721
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$159,749
Contract administrator fees	2015-12-31	$4,500
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	BOND, ANDIOLA & COMPANY
Accountancy firm EIN	2015-12-31	223205275
2014 : ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$746,145
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$244,953
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$205,947
Expenses. Certain deemed distributions of participant loans	2014-12-31	$6,728
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$442,791
Value of total assets at end of year	2014-12-31	$4,454,255
Value of total assets at beginning of year	2014-12-31	$3,953,063
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$32,278
Total interest from all sources	2014-12-31	$13,007
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Administrative expenses professional fees incurred	2014-12-31	$0
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$203,536
Participant contributions at end of year	2014-12-31	$226,514
Participant contributions at beginning of year	2014-12-31	$227,557
Participant contributions at end of year	2014-12-31	$1,437
Participant contributions at beginning of year	2014-12-31	$7,488
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$47,870
Other income not declared elsewhere	2014-12-31	$-3,793
Administrative expenses (other) incurred	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$501,192
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$4,454,255
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$3,953,063
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$1,215,506
Value of interest in pooled separate accounts at end of year	2014-12-31	$3,322,282
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$2,134,705
Interest on participant loans	2014-12-31	$13,007
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$801,301
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$308,038
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$0
Net investment gain/loss from pooled separate accounts	2014-12-31	$294,140
Net investment gain or loss from common/collective trusts	2014-12-31	$0
Net gain/loss from 103.12 investment entities	2014-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$191,385
Employer contributions (assets) at end of year	2014-12-31	$102,721
Employer contributions (assets) at beginning of year	2014-12-31	$59,769
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$205,947
Contract administrator fees	2014-12-31	$32,278
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	JAMES BIGGINS, CPA
Accountancy firm EIN	2014-12-31	201988762

Form 5500 Responses for ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN

2022: ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2015: ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING PLAN 2015 form 5500 responses
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	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: ATLANTIC CASTING & ENGINEERING CORP. PROFIT SHARING 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	Yes
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

811635

Policy instance

Insurance contract or identification number	811635
Number of Individuals Covered	150
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	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 $19,956
Insurance broker organization code?	3

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

811635

Policy instance

Insurance contract or identification number	811635
Number of Individuals Covered	161
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $12,777
Total amount of fees paid to insurance company	USD $3,243
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 $12,777
Insurance broker organization code?	3
Amount paid for insurance broker fees	3243
Additional information about fees paid to insurance broker	SERVICING FEES
Insurance broker name	RED BANK PENSION SERVICES, INC.

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

436083

Policy instance

Insurance contract or identification number	436083
Number of Individuals Covered	0
Insurance policy start date	2014-01-01
Insurance policy end date	2014-07-10
Total amount of commissions paid to insurance broker	USD $4,426
Total amount of fees paid to insurance company	USD $1,498
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

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

436083

Policy instance

Insurance contract or identification number	436083
Number of Individuals Covered	142
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $4,946
Total amount of fees paid to insurance company	USD $14,244
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

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

436083

Policy instance

Insurance contract or identification number	436083
Number of Individuals Covered	142
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $4,946
Total amount of fees paid to insurance company	USD $14,244
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
Amount paid for insurance broker fees	14244
Additional information about fees paid to insurance broker	SERVICING FEES
Insurance broker organization code?	5
Commission paid to Insurance Broker	USD $4,946
Insurance broker name	PARK AVENUE SECURITIES, LLC

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

436083

Policy instance

Insurance contract or identification number	436083
Number of Individuals Covered	0
Insurance policy start date	2014-01-01
Insurance policy end date	2014-07-10
Total amount of commissions paid to insurance broker	USD $4,426
Total amount of fees paid to insurance company	USD $1,498
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 $4,426
Amount paid for insurance broker fees	1498
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker organization code?	3
Insurance broker name	PARK AVENUE SECURITIES, LLC

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Company Name:	ATLANTIC CASTING & ENGINEERING CORP.
Employer identification number (EIN):	220745345
NAIC Classification:	331500