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HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 401k Plan overview

Plan NameHAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN
Plan identification number 001

HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
  • 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(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.
  • 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.
  • Life insurance

401k Sponsoring company profile

HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION has sponsored the creation of one or more 401k plans.

Company Name:HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION
Employer identification number (EIN):231739748
NAIC Classification:541110
NAIC Description:Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-04-01LAURA DENARDO2023-10-03
0012021-04-01JONATHAN SAMEL2022-10-21
0012020-04-01JONATHAN SAMEL2021-10-18
0012019-04-01JONATHAN SAMEL2020-07-23
0012018-04-01JONATHAN SAMEL2019-08-22
0012017-04-01STEVE LUPIN2018-10-24
0012016-04-01STEVE LUPIN
0012015-04-01STEVE LUPIN
0012014-04-01J. EDMUND MULLIN
0012013-04-01J. EDMUND MULLIN
0012012-04-01J. EDMUND MULLIN JONATHAN SAMEL2014-01-09
0012011-04-01J. EDMUND MULLIN JONATHAN SAMEL2012-06-13
0012009-04-01J EDMUND MULLIN JONATHAN SAMEL2010-07-28

Plan Statistics for HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN

401k plan membership statisitcs for HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN

Measure Date Value
2016: HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year2016-04-0174
Total number of active participants reported on line 7a of the Form 55002016-04-0159
Number of retired or separated participants receiving benefits2016-04-010
Number of other retired or separated participants entitled to future benefits2016-04-0115
Total of all active and inactive participants2016-04-0174
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-04-010
Total participants2016-04-0174
Number of participants with account balances2016-04-0174
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-04-010
2015: HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-04-0174
Total number of active participants reported on line 7a of the Form 55002015-04-0159
Number of retired or separated participants receiving benefits2015-04-010
Number of other retired or separated participants entitled to future benefits2015-04-0116
Total of all active and inactive participants2015-04-0175
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-04-010
Total participants2015-04-0175
Number of participants with account balances2015-04-0175
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-04-010
2014: HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-04-0178
Total number of active participants reported on line 7a of the Form 55002014-04-0159
Number of retired or separated participants receiving benefits2014-04-010
Number of other retired or separated participants entitled to future benefits2014-04-0115
Total of all active and inactive participants2014-04-0174
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-04-010
Total participants2014-04-0174
Number of participants with account balances2014-04-0174
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-04-011
2013: HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-04-0177
Total number of active participants reported on line 7a of the Form 55002013-04-0158
Number of retired or separated participants receiving benefits2013-04-010
Number of other retired or separated participants entitled to future benefits2013-04-0119
Total of all active and inactive participants2013-04-0177
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-04-010
Total participants2013-04-0177
Number of participants with account balances2013-04-0177
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-04-011
2012: HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-04-0178
Total number of active participants reported on line 7a of the Form 55002012-04-0159
Number of retired or separated participants receiving benefits2012-04-010
Number of other retired or separated participants entitled to future benefits2012-04-0117
Total of all active and inactive participants2012-04-0176
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-04-010
Total participants2012-04-0176
Number of participants with account balances2012-04-0176
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-04-013
2011: HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-04-0181
Total number of active participants reported on line 7a of the Form 55002011-04-0161
Number of retired or separated participants receiving benefits2011-04-013
Number of other retired or separated participants entitled to future benefits2011-04-0114
Total of all active and inactive participants2011-04-0178
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-04-010
Total participants2011-04-0178
Number of participants with account balances2011-04-0178
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-04-010
2009: HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-04-0168
Total number of active participants reported on line 7a of the Form 55002009-04-0168
Number of retired or separated participants receiving benefits2009-04-010
Number of other retired or separated participants entitled to future benefits2009-04-018
Total of all active and inactive participants2009-04-0176
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-04-010
Total participants2009-04-0176
Number of participants with account balances2009-04-0176
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-04-011

Financial Data on HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN

Measure Date Value
2017 : HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2017 401k financial data
Transfers to/from the plan2017-03-31$0
Total plan liabilities at end of year2017-03-31$0
Total plan liabilities at beginning of year2017-03-31$0
Total income from all sources2017-03-31$1,801,575
Expenses. Total of all expenses incurred2017-03-31$95,871
Benefits paid (including direct rollovers)2017-03-31$84,530
Total plan assets at end of year2017-03-31$12,781,583
Total plan assets at beginning of year2017-03-31$11,075,879
Value of fidelity bond covering the plan2017-03-31$500,000
Total contributions received or receivable from participants2017-03-31$397,378
Expenses. Other expenses not covered elsewhere2017-03-31$11,341
Contributions received from other sources (not participants or employers)2017-03-31$0
Other income received2017-03-31$1,050,049
Noncash contributions received2017-03-31$0
Net income (gross income less expenses)2017-03-31$1,705,704
Net plan assets at end of year (total assets less liabilities)2017-03-31$12,781,583
Net plan assets at beginning of year (total assets less liabilities)2017-03-31$11,075,879
Assets. Value of participant loans2017-03-31$21,334
Assets. Value of assets in partnership/joint-venture interests2017-03-31$16,340
Total contributions received or receivable from employer(s)2017-03-31$354,148
Value of certain deemed distributions of participant loans2017-03-31$0
Value of corrective distributions2017-03-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2017-03-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-03-31$0
2016 : HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2016 401k financial data
Transfers to/from the plan2016-03-31$0
Total plan liabilities at end of year2016-03-31$0
Total plan liabilities at beginning of year2016-03-31$0
Total income from all sources2016-03-31$564,727
Expenses. Total of all expenses incurred2016-03-31$570,186
Benefits paid (including direct rollovers)2016-03-31$560,554
Total plan assets at end of year2016-03-31$11,075,879
Total plan assets at beginning of year2016-03-31$11,081,338
Value of fidelity bond covering the plan2016-03-31$500,000
Total contributions received or receivable from participants2016-03-31$368,099
Expenses. Other expenses not covered elsewhere2016-03-31$9,632
Contributions received from other sources (not participants or employers)2016-03-31$3,812
Other income received2016-03-31$-129,215
Noncash contributions received2016-03-31$0
Net income (gross income less expenses)2016-03-31$-5,459
Net plan assets at end of year (total assets less liabilities)2016-03-31$11,075,879
Net plan assets at beginning of year (total assets less liabilities)2016-03-31$11,081,338
Assets. Value of participant loans2016-03-31$13,362
Total contributions received or receivable from employer(s)2016-03-31$322,031
Value of certain deemed distributions of participant loans2016-03-31$0
Value of corrective distributions2016-03-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2016-03-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-03-31$0
2015 : HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2015 401k financial data
Transfers to/from the plan2015-03-31$0
Total plan liabilities at end of year2015-03-31$0
Total plan liabilities at beginning of year2015-03-31$0
Total income from all sources2015-03-31$1,375,392
Expenses. Total of all expenses incurred2015-03-31$44,594
Benefits paid (including direct rollovers)2015-03-31$27,262
Total plan assets at end of year2015-03-31$11,081,338
Total plan assets at beginning of year2015-03-31$9,750,540
Value of fidelity bond covering the plan2015-03-31$500,000
Total contributions received or receivable from participants2015-03-31$336,832
Expenses. Other expenses not covered elsewhere2015-03-31$17,332
Contributions received from other sources (not participants or employers)2015-03-31$0
Other income received2015-03-31$723,348
Noncash contributions received2015-03-31$0
Net income (gross income less expenses)2015-03-31$1,330,798
Net plan assets at end of year (total assets less liabilities)2015-03-31$11,081,338
Net plan assets at beginning of year (total assets less liabilities)2015-03-31$9,750,540
Assets. Value of participant loans2015-03-31$17,567
Assets. Value of assets in partnership/joint-venture interests2015-03-31$38,704
Total contributions received or receivable from employer(s)2015-03-31$315,212
Value of certain deemed distributions of participant loans2015-03-31$0
Value of corrective distributions2015-03-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2015-03-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-03-31$0
2014 : HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2014 401k financial data
Transfers to/from the plan2014-03-31$0
Total plan liabilities at end of year2014-03-31$0
Total plan liabilities at beginning of year2014-03-31$0
Total income from all sources2014-03-31$1,535,203
Expenses. Total of all expenses incurred2014-03-31$1,482,437
Benefits paid (including direct rollovers)2014-03-31$1,468,770
Total plan assets at end of year2014-03-31$9,750,540
Total plan assets at beginning of year2014-03-31$9,697,774
Value of fidelity bond covering the plan2014-03-31$500,000
Total contributions received or receivable from participants2014-03-31$270,689
Expenses. Other expenses not covered elsewhere2014-03-31$13,667
Contributions received from other sources (not participants or employers)2014-03-31$3,666
Other income received2014-03-31$951,564
Noncash contributions received2014-03-31$0
Net income (gross income less expenses)2014-03-31$52,766
Net plan assets at end of year (total assets less liabilities)2014-03-31$9,750,540
Net plan assets at beginning of year (total assets less liabilities)2014-03-31$9,697,774
Assets. Value of participant loans2014-03-31$11,267
Assets. Value of assets in partnership/joint-venture interests2014-03-31$61,068
Total contributions received or receivable from employer(s)2014-03-31$309,284
Value of certain deemed distributions of participant loans2014-03-31$0
Value of corrective distributions2014-03-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2014-03-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-03-31$0
Funding deficiency by the employer to the plan for this plan year2014-03-31$0
Minimum employer required contribution for this plan year2014-03-31$0
Amount contributed by the employer to the plan for this plan year2014-03-31$0
2013 : HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2013 401k financial data
Transfers to/from the plan2013-03-31$0
Total plan liabilities at end of year2013-03-31$0
Total plan liabilities at beginning of year2013-03-31$0
Total income from all sources2013-03-31$1,189,562
Expenses. Total of all expenses incurred2013-03-31$3,527,973
Benefits paid (including direct rollovers)2013-03-31$3,486,358
Total plan assets at end of year2013-03-31$9,697,774
Total plan assets at beginning of year2013-03-31$12,036,185
Value of fidelity bond covering the plan2013-03-31$1,850,000
Total contributions received or receivable from participants2013-03-31$247,540
Expenses. Other expenses not covered elsewhere2013-03-31$41,615
Contributions received from other sources (not participants or employers)2013-03-31$0
Other income received2013-03-31$646,512
Noncash contributions received2013-03-31$0
Net income (gross income less expenses)2013-03-31$-2,338,411
Net plan assets at end of year (total assets less liabilities)2013-03-31$9,697,774
Net plan assets at beginning of year (total assets less liabilities)2013-03-31$12,036,185
Assets. Value of participant loans2013-03-31$8,917
Assets. Value of assets in partnership/joint-venture interests2013-03-31$103,874
Assets. Value of real-estate (other than employer real property)2013-03-31$31,000
Total contributions received or receivable from employer(s)2013-03-31$295,510
Value of certain deemed distributions of participant loans2013-03-31$0
Value of corrective distributions2013-03-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2013-03-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-03-31$0
2012 : HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2012 401k financial data
Transfers to/from the plan2012-03-31$0
Total plan liabilities at end of year2012-03-31$0
Total plan liabilities at beginning of year2012-03-31$0
Total income from all sources2012-03-31$819,868
Expenses. Total of all expenses incurred2012-03-31$2,220,049
Benefits paid (including direct rollovers)2012-03-31$2,158,368
Total plan assets at end of year2012-03-31$12,036,185
Total plan assets at beginning of year2012-03-31$13,436,366
Value of fidelity bond covering the plan2012-03-31$1,850,000
Total contributions received or receivable from participants2012-03-31$295,690
Expenses. Other expenses not covered elsewhere2012-03-31$56,249
Contributions received from other sources (not participants or employers)2012-03-31$0
Other income received2012-03-31$254,414
Noncash contributions received2012-03-31$0
Net income (gross income less expenses)2012-03-31$-1,400,181
Net plan assets at end of year (total assets less liabilities)2012-03-31$12,036,185
Net plan assets at beginning of year (total assets less liabilities)2012-03-31$13,436,366
Assets. Value of participant loans2012-03-31$15,620
Assets. Value of assets in partnership/joint-venture interests2012-03-31$471,236
Assets. Value of real-estate (other than employer real property)2012-03-31$123,650
Total contributions received or receivable from employer(s)2012-03-31$269,764
Value of certain deemed distributions of participant loans2012-03-31$4,603
Value of corrective distributions2012-03-31$829
Expenses. Administrative service providers (salaries,fees and commissions)2012-03-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-03-31$0
2011 : HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2011 401k financial data
Transfers to/from the plan2011-03-31$0
Total plan liabilities at end of year2011-03-31$0
Total plan liabilities at beginning of year2011-03-31$0
Total income from all sources2011-03-31$1,839,729
Expenses. Total of all expenses incurred2011-03-31$4,455,743
Benefits paid (including direct rollovers)2011-03-31$4,378,185
Total plan assets at end of year2011-03-31$13,436,366
Total plan assets at beginning of year2011-03-31$16,052,380
Value of fidelity bond covering the plan2011-03-31$1,850,000
Total contributions received or receivable from participants2011-03-31$243,053
Assets. Value of loans (other than to participants)2011-03-31$0
Expenses. Other expenses not covered elsewhere2011-03-31$77,558
Contributions received from other sources (not participants or employers)2011-03-31$0
Other income received2011-03-31$1,285,604
Noncash contributions received2011-03-31$0
Net income (gross income less expenses)2011-03-31$-2,616,014
Net plan assets at end of year (total assets less liabilities)2011-03-31$13,436,366
Net plan assets at beginning of year (total assets less liabilities)2011-03-31$16,052,380
Assets. Value of participant loans2011-03-31$34,004
Value of loans by the plan or fixed income obligations due to the plan which were in default or classified as uncollectible at the close of the plan year2011-03-31$4,000
Assets. Value of assets in partnership/joint-venture interests2011-03-31$743,403
Assets. Value of real-estate (other than employer real property)2011-03-31$151,726
Total contributions received or receivable from employer(s)2011-03-31$311,072
Value of certain deemed distributions of participant loans2011-03-31$0
Value of corrective distributions2011-03-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2011-03-31$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-03-31$0
2010 : HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-03-31$0

Form 5500 Responses for HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN

2016: HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2016 form 5500 responses
2016-04-01Type of plan entitySingle employer plan
2016-04-01Plan funding arrangement – InsuranceYes
2016-04-01Plan funding arrangement – TrustYes
2016-04-01Plan benefit arrangement – InsuranceYes
2016-04-01Plan benefit arrangement - TrustYes
2015: HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2015 form 5500 responses
2015-04-01Type of plan entitySingle employer plan
2015-04-01Plan funding arrangement – InsuranceYes
2015-04-01Plan funding arrangement – TrustYes
2015-04-01Plan benefit arrangement – InsuranceYes
2015-04-01Plan benefit arrangement - TrustYes
2014: HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2014 form 5500 responses
2014-04-01Type of plan entitySingle employer plan
2014-04-01Plan funding arrangement – InsuranceYes
2014-04-01Plan funding arrangement – TrustYes
2014-04-01Plan benefit arrangement – InsuranceYes
2014-04-01Plan benefit arrangement - TrustYes
2013: HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2013 form 5500 responses
2013-04-01Type of plan entitySingle employer plan
2013-04-01Plan funding arrangement – InsuranceYes
2013-04-01Plan funding arrangement – TrustYes
2013-04-01Plan benefit arrangement – InsuranceYes
2013-04-01Plan benefit arrangement - TrustYes
2012: HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2012 form 5500 responses
2012-04-01Type of plan entitySingle employer plan
2012-04-01Plan funding arrangement – InsuranceYes
2012-04-01Plan funding arrangement – TrustYes
2012-04-01Plan benefit arrangement – InsuranceYes
2012-04-01Plan benefit arrangement - TrustYes
2011: HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2011 form 5500 responses
2011-04-01Type of plan entitySingle employer plan
2011-04-01Plan funding arrangement – InsuranceYes
2011-04-01Plan funding arrangement – TrustYes
2011-04-01Plan benefit arrangement – InsuranceYes
2011-04-01Plan benefit arrangement - TrustYes
2009: HAMBURG, RUBIN, MULLIN, MAXWELL & LUPIN, A PROFESSIONAL CORPORATION RETIREMENT PLAN 2009 form 5500 responses
2009-04-01Type of plan entitySingle employer plan
2009-04-01Submission has been amendedNo
2009-04-01This submission is the final filingNo
2009-04-01This return/report is a short plan year return/report (less than 12 months)No
2009-04-01Plan is a collectively bargained planNo
2009-04-01Plan funding arrangement – InsuranceYes
2009-04-01Plan funding arrangement – TrustYes
2009-04-01Plan benefit arrangement – InsuranceYes
2009-04-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number512146
Policy instance 1
Insurance contract or identification number512146
Number of Individuals Covered75
Insurance policy start date2015-04-01
Insurance policy end date2016-03-31
Total amount of commissions paid to insurance brokerUSD $1,335
Total amount of fees paid to insurance companyUSD $5,330
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Commission paid to Insurance BrokerUSD $1,335
Insurance broker organization code?3
Amount paid for insurance broker fees5330
Additional information about fees paid to insurance brokerTPA ADMINISTRATION CHARGES
Insurance broker nameESTATE & PENSION ADVISORY BOARD
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number512146
Policy instance 1
Insurance contract or identification number512146
Insurance policy start date2014-04-01
Insurance policy end date2015-03-31
Total amount of commissions paid to insurance brokerUSD $933
Total amount of fees paid to insurance companyUSD $4,918
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Commission paid to Insurance BrokerUSD $933
Insurance broker organization code?3
Amount paid for insurance broker fees4918
Additional information about fees paid to insurance brokerADMINISTRATIVE FEES
Insurance broker nameESTATE & PENSION ADVISORY BOARD
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number512146
Policy instance 1
Insurance contract or identification number512146
Number of Individuals Covered77
Insurance policy start date2012-04-01
Insurance policy end date2013-03-31
Total amount of commissions paid to insurance brokerUSD $762
Total amount of fees paid to insurance companyUSD $4,146
Contracts With Unallocated Funds Deposit Administration1
Commission paid to Insurance BrokerUSD $762
Insurance broker organization code?3
Amount paid for insurance broker fees4146
Additional information about fees paid to insurance brokerTPA COMPENSATION
Insurance broker nameESTATE & PENSION ADVISORY BOARD
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number512146
Policy instance 1
Insurance contract or identification number512146
Number of Individuals Covered75
Insurance policy start date2012-04-01
Insurance policy end date2013-03-31
Total amount of commissions paid to insurance brokerUSD $225
Total amount of fees paid to insurance companyUSD $953
Contracts With Unallocated Funds Deposit Administration1
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $225
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerCOMMISSIONS
Insurance broker organization code?3
Insurance broker nameESTATE & PENSION ADVISORY BOARD
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number69340
Policy instance 2
Insurance contract or identification number69340
Number of Individuals Covered0
Insurance policy start date2012-04-01
Insurance policy end date2012-12-03
Total amount of commissions paid to insurance brokerUSD $3,186
Total amount of fees paid to insurance companyUSD $485
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,186
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerCOMMISSIONS
Insurance broker organization code?3
Insurance broker nameESTATE & PENSION ADVISORY BOARD
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number074509
Policy instance 1
Insurance contract or identification number074509
Number of Individuals Covered1
Insurance policy start date2011-04-01
Insurance policy end date2012-03-31
Are there contracts with allocated funds for individual policies?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number69340
Policy instance 2
Insurance contract or identification number69340
Number of Individuals Covered79
Insurance policy start date2011-04-01
Insurance policy end date2012-03-31
Total amount of commissions paid to insurance brokerUSD $6,427
Total amount of fees paid to insurance companyUSD $455
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66944 )
Policy contract number074509
Policy instance 2
Insurance contract or identification number074509
Number of Individuals Covered1
Insurance policy start date2010-04-01
Insurance policy end date2011-03-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Insurance broker nameNONE PAID DURING PLAN YEAR
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number69340
Policy instance 3
Insurance contract or identification number69340
Number of Individuals Covered82
Insurance policy start date2010-04-01
Insurance policy end date2011-03-31
Total amount of commissions paid to insurance brokerUSD $4,880
Total amount of fees paid to insurance companyUSD $385
Are there contracts with allocated funds for group deferred annuity?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,880
Amount paid for insurance broker fees0
Insurance broker organization code?3
Additional information about fees paid to insurance brokerTPA COMPENSATION
Insurance broker nameESTATE & PENSION ADVISORY BOARD
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number28410
Policy instance 1
Insurance contract or identification number28410
Number of Individuals Covered1
Insurance policy start date2010-04-01
Insurance policy end date2011-03-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Insurance broker nameNONE PAID DURING PLAN YEAR

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