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NREL 403B EMPLOYEE SAVINGS PLAN 401k Plan overview

Plan NameNREL 403B EMPLOYEE SAVINGS PLAN
Plan identification number 002

NREL 403B EMPLOYEE SAVINGS PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • 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(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.
  • Code section 403(b)(7) accounts - See Limited Pension Plan Reporting instructions for Code section 403(b)(7) custodial accounts for regulated investment company stock for certain exempt organizations.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

401k Sponsoring company profile

ALLIANCE FOR SUSTAINABLE ENERGY, LLC has sponsored the creation of one or more 401k plans.

Company Name:ALLIANCE FOR SUSTAINABLE ENERGY, LLC
Employer identification number (EIN):261939342
NAIC Classification:541990
NAIC Description:All Other Professional, Scientific, and Technical Services

Additional information about ALLIANCE FOR SUSTAINABLE ENERGY, LLC

Jurisdiction of Incorporation: Texas Secretary of State
Incorporation Date: 2015-10-07
Company Identification Number: 0802307586
Legal Registered Office Address: 15013 DENVER WEST PKWY

LAKEWOOD
United States of America (USA)
80401

More information about ALLIANCE FOR SUSTAINABLE ENERGY, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NREL 403B EMPLOYEE SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022022-01-01
0022021-01-01
0022020-01-01
0022019-01-01
0022018-01-01
0022017-01-01OWEN BARWELL
0022016-01-01OWEN BARWELL
0022015-01-01OWEN BARWELL
0022014-01-01PATRICIA HANLEN
0022013-01-01OWEN BARWELL
0022012-01-01OWEN BARWELL

Plan Statistics for NREL 403B EMPLOYEE SAVINGS PLAN

401k plan membership statisitcs for NREL 403B EMPLOYEE SAVINGS PLAN

Measure Date Value
2022: NREL 403B EMPLOYEE SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-013,821
Total number of active participants reported on line 7a of the Form 55002022-01-012,877
Number of retired or separated participants receiving benefits2022-01-0160
Number of other retired or separated participants entitled to future benefits2022-01-011,212
Total of all active and inactive participants2022-01-014,149
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-0121
Total participants2022-01-014,170
Number of participants with account balances2022-01-014,170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: NREL 403B EMPLOYEE SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-013,583
Total number of active participants reported on line 7a of the Form 55002021-01-012,577
Number of retired or separated participants receiving benefits2021-01-0156
Number of other retired or separated participants entitled to future benefits2021-01-011,168
Total of all active and inactive participants2021-01-013,801
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-0120
Total participants2021-01-013,821
Number of participants with account balances2021-01-013,821
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: NREL 403B EMPLOYEE SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-013,319
Total number of active participants reported on line 7a of the Form 55002020-01-012,601
Number of retired or separated participants receiving benefits2020-01-0126
Number of other retired or separated participants entitled to future benefits2020-01-01944
Total of all active and inactive participants2020-01-013,571
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-0112
Total participants2020-01-013,583
Number of participants with account balances2020-01-013,583
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: NREL 403B EMPLOYEE SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-012,992
Total number of active participants reported on line 7a of the Form 55002019-01-012,298
Number of retired or separated participants receiving benefits2019-01-0152
Number of other retired or separated participants entitled to future benefits2019-01-01962
Total of all active and inactive participants2019-01-013,312
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-017
Total participants2019-01-013,319
Number of participants with account balances2019-01-013,307
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: NREL 403B EMPLOYEE SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-012,954
Total number of active participants reported on line 7a of the Form 55002018-01-011,999
Number of retired or separated participants receiving benefits2018-01-0143
Number of other retired or separated participants entitled to future benefits2018-01-01940
Total of all active and inactive participants2018-01-012,982
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-0110
Total participants2018-01-012,992
Number of participants with account balances2018-01-012,992
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: NREL 403B EMPLOYEE SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-012,477
Total number of active participants reported on line 7a of the Form 55002017-01-011,759
Number of retired or separated participants receiving benefits2017-01-0141
Number of other retired or separated participants entitled to future benefits2017-01-011,143
Total of all active and inactive participants2017-01-012,943
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-0111
Total participants2017-01-012,954
Number of participants with account balances2017-01-012,954
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: NREL 403B EMPLOYEE SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-012,586
Total number of active participants reported on line 7a of the Form 55002016-01-011,701
Number of retired or separated participants receiving benefits2016-01-0133
Number of other retired or separated participants entitled to future benefits2016-01-01736
Total of all active and inactive participants2016-01-012,470
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-017
Total participants2016-01-012,477
Number of participants with account balances2016-01-012,477
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: NREL 403B EMPLOYEE SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-012,254
Total number of active participants reported on line 7a of the Form 55002015-01-011,704
Number of retired or separated participants receiving benefits2015-01-0128
Number of other retired or separated participants entitled to future benefits2015-01-01849
Total of all active and inactive participants2015-01-012,581
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-015
Total participants2015-01-012,586
Number of participants with account balances2015-01-012,586
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: NREL 403B EMPLOYEE SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-012,262
Total number of active participants reported on line 7a of the Form 55002014-01-011,720
Number of retired or separated participants receiving benefits2014-01-0132
Number of other retired or separated participants entitled to future benefits2014-01-01495
Total of all active and inactive participants2014-01-012,247
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-017
Total participants2014-01-012,254
Number of participants with account balances2014-01-012,459
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: NREL 403B EMPLOYEE SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-012,211
Total number of active participants reported on line 7a of the Form 55002013-01-011,579
Number of retired or separated participants receiving benefits2013-01-0121
Number of other retired or separated participants entitled to future benefits2013-01-01655
Total of all active and inactive participants2013-01-012,255
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-017
Total participants2013-01-012,262
Number of participants with account balances2013-01-012,262
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: NREL 403B EMPLOYEE SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-012,305
Total number of active participants reported on line 7a of the Form 55002012-01-011,637
Number of retired or separated participants receiving benefits2012-01-018
Number of other retired or separated participants entitled to future benefits2012-01-01562
Total of all active and inactive participants2012-01-012,207
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-014
Total participants2012-01-012,211
Number of participants with account balances2012-01-012,211
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010

Financial Data on NREL 403B EMPLOYEE SAVINGS PLAN

Measure Date Value
2022 : NREL 403B EMPLOYEE SAVINGS PLAN 2022 401k financial data
Total income from all sources (including contributions)2022-12-31$-48,410,121
Total of all expenses incurred2022-12-31$30,621,382
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$30,185,866
Value of total corrective distributions2022-12-31$4,215
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$37,884,457
Value of total assets at end of year2022-12-31$422,176,184
Value of total assets at beginning of year2022-12-31$501,207,687
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$431,301
Total interest from all sources2022-12-31$975,813
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$6,114,380
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$6,114,380
Administrative expenses professional fees incurred2022-12-31$25,134
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$1,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$28,379,368
Participant contributions at end of year2022-12-31$1,971,431
Participant contributions at beginning of year2022-12-31$2,073,898
Assets. Other investments not covered elsewhere at end of year2022-12-31$5,455,512
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$5,888,735
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$2,015,141
Value of other receiveables (less allowance for doubtful accounts) at end of year2022-12-31$1,632
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-12-31$2,705
Other income not declared elsewhere2022-12-31$-1,190,485
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-79,031,503
Value of net assets at end of year (total assets less liabilities)2022-12-31$422,176,184
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$501,207,687
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$331,647
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$392,783,880
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$442,421,546
Value of interest in pooled separate accounts at end of year2022-12-31$8,829,817
Value of interest in pooled separate accounts at beginning of year2022-12-31$10,630,955
Interest on participant loans2022-12-31$90,444
Interest earned on other investments2022-12-31$885,369
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$12,916,412
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$40,004,926
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-90,763,070
Net investment gain/loss from pooled separate accounts2022-12-31$-1,431,216
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$7,489,948
Employer contributions (assets) at end of year2022-12-31$217,500
Employer contributions (assets) at beginning of year2022-12-31$184,922
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$30,185,866
Contract administrator fees2022-12-31$74,520
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32022-12-31No
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31FORVIS, LLP
Accountancy firm EIN2022-12-31440160260
2021 : NREL 403B EMPLOYEE SAVINGS PLAN 2021 401k financial data
Total income from all sources (including contributions)2021-12-31$95,785,306
Total of all expenses incurred2021-12-31$23,087,062
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$22,666,380
Value of total corrective distributions2021-12-31$4,001
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$34,139,285
Value of total assets at end of year2021-12-31$501,207,687
Value of total assets at beginning of year2021-12-31$428,509,443
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$416,681
Total interest from all sources2021-12-31$1,130,681
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$5,866,712
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$5,866,712
Administrative expenses professional fees incurred2021-12-31$28,938
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$1,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$25,691,560
Participant contributions at end of year2021-12-31$2,073,898
Participant contributions at beginning of year2021-12-31$2,006,351
Assets. Other investments not covered elsewhere at end of year2021-12-31$5,888,735
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$5,188,079
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$1,616,717
Value of other receiveables (less allowance for doubtful accounts) at end of year2021-12-31$2,705
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2021-12-31$3,900
Other income not declared elsewhere2021-12-31$326,771
Administrative expenses (other) incurred2021-12-31$338,723
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$72,698,244
Value of net assets at end of year (total assets less liabilities)2021-12-31$501,207,687
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$428,509,443
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Investment advisory and management fees2021-12-31$49,020
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$442,421,546
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$371,204,542
Value of interest in pooled separate accounts at end of year2021-12-31$10,630,955
Value of interest in pooled separate accounts at beginning of year2021-12-31$9,238,432
Interest on participant loans2021-12-31$104,045
Interest earned on other investments2021-12-31$1,026,636
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$40,004,926
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$40,868,139
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$52,472,853
Net investment gain/loss from pooled separate accounts2021-12-31$1,849,004
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$6,831,008
Employer contributions (assets) at end of year2021-12-31$184,922
Employer contributions (assets) at beginning of year2021-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$22,666,380
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32021-12-31No
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31FORVIS, LLP
Accountancy firm EIN2021-12-31440160260
2020 : NREL 403B EMPLOYEE SAVINGS PLAN 2020 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$15,000
Total income from all sources (including contributions)2020-12-31$94,818,418
Total of all expenses incurred2020-12-31$19,360,645
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$19,015,194
Value of total corrective distributions2020-12-31$3,175
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$31,974,523
Value of total assets at end of year2020-12-31$428,509,443
Value of total assets at beginning of year2020-12-31$353,066,670
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$342,276
Total interest from all sources2020-12-31$1,138,127
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$4,733,857
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$4,733,857
Administrative expenses professional fees incurred2020-12-31$45,000
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$1,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$23,265,060
Participant contributions at end of year2020-12-31$2,006,351
Participant contributions at beginning of year2020-12-31$1,686,551
Assets. Other investments not covered elsewhere at end of year2020-12-31$5,188,079
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$3,695,659
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$2,575,483
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$3,900
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$0
Other income not declared elsewhere2020-12-31$384,908
Administrative expenses (other) incurred2020-12-31$297,276
Liabilities. Value of operating payables at end of year2020-12-31$0
Liabilities. Value of operating payables at beginning of year2020-12-31$15,000
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$75,457,773
Value of net assets at end of year (total assets less liabilities)2020-12-31$428,509,443
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$353,051,670
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$371,204,542
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$304,554,534
Value of interest in pooled separate accounts at end of year2020-12-31$9,238,432
Value of interest in pooled separate accounts at beginning of year2020-12-31$8,728,626
Interest on participant loans2020-12-31$100,421
Interest earned on other investments2020-12-31$1,037,706
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$40,868,139
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$34,401,300
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$55,556,962
Net investment gain/loss from pooled separate accounts2020-12-31$1,030,041
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$6,133,980
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$19,015,194
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32020-12-31No
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31BKD LLP
Accountancy firm EIN2020-12-31440160260
2019 : NREL 403B EMPLOYEE SAVINGS PLAN 2019 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$15,000
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$88,140,440
Total of all expenses incurred2019-12-31$21,340,476
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$20,994,340
Value of total corrective distributions2019-12-31$5,380
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$26,542,791
Value of total assets at end of year2019-12-31$353,066,670
Value of total assets at beginning of year2019-12-31$286,251,706
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$340,756
Total interest from all sources2019-12-31$1,556,171
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$5,043,936
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$5,043,936
Administrative expenses professional fees incurred2019-12-31$304,524
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$1,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$19,555,521
Participant contributions at end of year2019-12-31$1,686,551
Participant contributions at beginning of year2019-12-31$1,528,811
Assets. Other investments not covered elsewhere at end of year2019-12-31$3,695,659
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$2,183,620
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$1,786,127
Other income not declared elsewhere2019-12-31$42,634
Liabilities. Value of operating payables at end of year2019-12-31$15,000
Liabilities. Value of operating payables at beginning of year2019-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$66,799,964
Value of net assets at end of year (total assets less liabilities)2019-12-31$353,051,670
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$286,251,706
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$36,232
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$304,554,534
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$239,945,355
Value of interest in pooled separate accounts at end of year2019-12-31$8,728,626
Value of interest in pooled separate accounts at beginning of year2019-12-31$7,519,451
Interest on participant loans2019-12-31$90,172
Interest earned on other investments2019-12-31$1,465,999
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$34,401,300
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$35,074,469
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$53,453,205
Net investment gain/loss from pooled separate accounts2019-12-31$1,501,703
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$5,201,143
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$20,994,340
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32019-12-31No
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31ACM LLP
Accountancy firm EIN2019-12-31010724563
2018 : NREL 403B EMPLOYEE SAVINGS PLAN 2018 401k financial data
Total income from all sources (including contributions)2018-12-31$10,300,482
Total of all expenses incurred2018-12-31$17,693,765
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$17,366,521
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$24,516,821
Value of total assets at end of year2018-12-31$286,251,706
Value of total assets at beginning of year2018-12-31$293,644,989
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$327,244
Total interest from all sources2018-12-31$1,004,895
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$4,417,912
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$4,417,912
Administrative expenses professional fees incurred2018-12-31$17,250
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$1,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$16,903,919
Participant contributions at end of year2018-12-31$1,528,811
Participant contributions at beginning of year2018-12-31$1,383,711
Assets. Other investments not covered elsewhere at end of year2018-12-31$2,183,620
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$1,553,161
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$3,127,394
Other income not declared elsewhere2018-12-31$61,284
Administrative expenses (other) incurred2018-12-31$243,164
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-7,393,283
Value of net assets at end of year (total assets less liabilities)2018-12-31$286,251,706
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$293,644,989
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$66,830
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$239,945,355
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$250,153,067
Value of interest in pooled separate accounts at end of year2018-12-31$7,519,451
Value of interest in pooled separate accounts at beginning of year2018-12-31$8,690,341
Interest on participant loans2018-12-31$71,214
Interest earned on other investments2018-12-31$933,681
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$35,074,469
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$31,864,709
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-19,476,542
Net investment gain/loss from pooled separate accounts2018-12-31$-223,888
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$4,485,508
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$17,366,521
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31No
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31ACM LLP
Accountancy firm EIN2018-12-31010724563
2017 : NREL 403B EMPLOYEE SAVINGS PLAN 2017 401k financial data
Total income from all sources (including contributions)2017-12-31$64,463,418
Total of all expenses incurred2017-12-31$16,774,687
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$16,378,783
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$20,548,777
Value of total assets at end of year2017-12-31$293,644,989
Value of total assets at beginning of year2017-12-31$245,956,258
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$395,904
Total interest from all sources2017-12-31$941,278
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$3,711,065
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$3,711,065
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$1,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$15,527,056
Participant contributions at end of year2017-12-31$1,383,711
Participant contributions at beginning of year2017-12-31$1,622,065
Assets. Other investments not covered elsewhere at end of year2017-12-31$1,553,161
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$1,142,371
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$990,747
Other income not declared elsewhere2017-12-31$37,248
Administrative expenses (other) incurred2017-12-31$321,854
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$47,688,731
Value of net assets at end of year (total assets less liabilities)2017-12-31$293,644,989
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$245,956,258
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Investment advisory and management fees2017-12-31$74,050
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$250,153,067
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$204,126,843
Value of interest in pooled separate accounts at end of year2017-12-31$8,690,341
Value of interest in pooled separate accounts at beginning of year2017-12-31$8,554,681
Interest on participant loans2017-12-31$62,635
Interest earned on other investments2017-12-31$878,643
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$31,864,709
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$30,510,298
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$37,803,437
Net investment gain/loss from pooled separate accounts2017-12-31$1,421,613
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$4,030,974
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$16,378,783
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31No
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31ANTON COLLINS MITCHELL LLP
Accountancy firm EIN2017-12-31010724563
2016 : NREL 403B EMPLOYEE SAVINGS PLAN 2016 401k financial data
Total income from all sources (including contributions)2016-12-31$37,399,268
Total of all expenses incurred2016-12-31$12,959,514
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$12,636,839
Expenses. Certain deemed distributions of participant loans2016-12-31$-1,574
Value of total corrective distributions2016-12-31$678
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$19,072,150
Value of total assets at end of year2016-12-31$245,956,258
Value of total assets at beginning of year2016-12-31$221,516,504
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$323,571
Total interest from all sources2016-12-31$953,290
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$2,773,184
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$2,773,184
Administrative expenses professional fees incurred2016-12-31$20,000
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$1,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$14,420,506
Participant contributions at end of year2016-12-31$1,622,065
Participant contributions at beginning of year2016-12-31$1,513,324
Assets. Other investments not covered elsewhere at end of year2016-12-31$1,142,371
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$1,189,079
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$837,899
Other income not declared elsewhere2016-12-31$48,928
Administrative expenses (other) incurred2016-12-31$257,531
Total non interest bearing cash at beginning of year2016-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$24,439,754
Value of net assets at end of year (total assets less liabilities)2016-12-31$245,956,258
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$221,516,504
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$46,040
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$204,126,843
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$181,812,122
Value of interest in pooled separate accounts at end of year2016-12-31$8,554,681
Value of interest in pooled separate accounts at beginning of year2016-12-31$8,775,945
Interest on participant loans2016-12-31$65,719
Interest earned on other investments2016-12-31$887,571
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$30,510,298
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$28,226,034
Expenses. Payments to insurance carriers foe the provision of benefits2016-12-31$109,202
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$14,014,016
Net investment gain/loss from pooled separate accounts2016-12-31$537,700
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$3,813,745
Employer contributions (assets) at beginning of year2016-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$12,527,637
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-31No
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31ANTON COLLINS MITCHELL LLP
Accountancy firm EIN2016-12-31010724563
2015 : NREL 403B EMPLOYEE SAVINGS PLAN 2015 401k financial data
Total income from all sources (including contributions)2015-12-31$20,551,466
Total of all expenses incurred2015-12-31$14,497,371
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$14,172,730
Expenses. Certain deemed distributions of participant loans2015-12-31$-10,425
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$19,799,207
Value of total assets at end of year2015-12-31$221,516,504
Value of total assets at beginning of year2015-12-31$215,462,409
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$335,066
Total interest from all sources2015-12-31$865,924
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$2,459,077
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$2,459,077
Administrative expenses professional fees incurred2015-12-31$13,283
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$1,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$14,572,048
Participant contributions at end of year2015-12-31$1,513,324
Participant contributions at beginning of year2015-12-31$1,389,275
Assets. Other investments not covered elsewhere at end of year2015-12-31$1,189,079
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$944,719
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$1,474,145
Other income not declared elsewhere2015-12-31$-11,158
Administrative expenses (other) incurred2015-12-31$255,501
Total non interest bearing cash at end of year2015-12-31$0
Total non interest bearing cash at beginning of year2015-12-31$14,737
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$6,054,095
Value of net assets at end of year (total assets less liabilities)2015-12-31$221,516,504
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$215,462,409
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$66,282
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$181,812,122
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$170,827,902
Value of interest in pooled separate accounts at end of year2015-12-31$8,775,945
Value of interest in pooled separate accounts at beginning of year2015-12-31$28,899,565
Interest on participant loans2015-12-31$63,944
Interest earned on other investments2015-12-31$801,980
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$28,226,034
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$13,348,039
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-2,565,810
Net investment gain/loss from pooled separate accounts2015-12-31$4,226
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$3,753,014
Employer contributions (assets) at end of year2015-12-31$0
Employer contributions (assets) at beginning of year2015-12-31$38,172
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$14,172,730
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31No
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31ANTON COLLINS MITCHELL LLP
Accountancy firm EIN2015-12-31010724563
2014 : NREL 403B EMPLOYEE SAVINGS PLAN 2014 401k financial data
Total income from all sources (including contributions)2014-12-31$29,563,332
Total of all expenses incurred2014-12-31$15,102,712
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$14,265,130
Value of total corrective distributions2014-12-31$7,505
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$16,942,741
Value of total assets at end of year2014-12-31$215,462,409
Value of total assets at beginning of year2014-12-31$201,001,789
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$830,077
Total interest from all sources2014-12-31$582,323
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$2,332,856
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$2,332,856
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$1,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$12,484,277
Participant contributions at end of year2014-12-31$1,389,275
Participant contributions at beginning of year2014-12-31$1,126,582
Assets. Other investments not covered elsewhere at end of year2014-12-31$944,719
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$747,407
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$1,279,504
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$806
Other income not declared elsewhere2014-12-31$78,810
Administrative expenses (other) incurred2014-12-31$749,389
Total non interest bearing cash at end of year2014-12-31$14,737
Total non interest bearing cash at beginning of year2014-12-31$244,680
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$14,460,620
Value of net assets at end of year (total assets less liabilities)2014-12-31$215,462,409
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$201,001,789
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$80,688
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$170,827,902
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$154,705,270
Value of interest in pooled separate accounts at end of year2014-12-31$28,899,565
Value of interest in pooled separate accounts at beginning of year2014-12-31$30,434,661
Interest on participant loans2014-12-31$57,131
Interest earned on other investments2014-12-31$525,192
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$13,348,039
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$13,742,383
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$8,490,452
Net investment gain/loss from pooled separate accounts2014-12-31$1,136,150
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$3,178,960
Employer contributions (assets) at end of year2014-12-31$38,172
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$14,265,130
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32014-12-31No
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31PICKETT, CHANEY &MCMULLEN LLP
Accountancy firm EIN2014-12-31481246310
2013 : NREL 403B EMPLOYEE SAVINGS PLAN 2013 401k financial data
Total income from all sources (including contributions)2013-12-31$51,037,054
Total of all expenses incurred2013-12-31$13,148,935
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$12,852,291
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$16,998,994
Value of total assets at end of year2013-12-31$201,001,789
Value of total assets at beginning of year2013-12-31$163,113,670
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$296,644
Total interest from all sources2013-12-31$578,899
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$2,134,386
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$2,134,386
Administrative expenses professional fees incurred2013-12-31$20,567
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$1,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$11,442,158
Participant contributions at end of year2013-12-31$1,126,582
Participant contributions at beginning of year2013-12-31$1,068,033
Assets. Other investments not covered elsewhere at end of year2013-12-31$747,407
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$456,459
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$2,538,672
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$806
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$476
Other income not declared elsewhere2013-12-31$112,314
Administrative expenses (other) incurred2013-12-31$236,527
Total non interest bearing cash at end of year2013-12-31$244,680
Total non interest bearing cash at beginning of year2013-12-31$238,617
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$37,888,119
Value of net assets at end of year (total assets less liabilities)2013-12-31$201,001,789
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$163,113,670
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Investment advisory and management fees2013-12-31$39,550
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$154,705,270
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$118,951,984
Value of interest in pooled separate accounts at end of year2013-12-31$30,434,661
Value of interest in pooled separate accounts at beginning of year2013-12-31$28,282,274
Interest on participant loans2013-12-31$58,886
Interest earned on other investments2013-12-31$520,013
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$13,742,383
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$14,115,827
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$29,235,018
Net investment gain/loss from pooled separate accounts2013-12-31$1,977,443
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$3,018,164
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$12,852,291
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-12-31No
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31PICKETT, CHANEY & MCMULLEN LLP
Accountancy firm EIN2013-12-31481246310
2012 : NREL 403B EMPLOYEE SAVINGS PLAN 2012 401k financial data
Total transfer of assets to this plan2012-12-31$145,724,707
Total income from all sources (including contributions)2012-12-31$29,384,970
Total of all expenses incurred2012-12-31$11,996,007
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$11,679,995
Expenses. Certain deemed distributions of participant loans2012-12-31$2,474
Value of total corrective distributions2012-12-31$520
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$15,986,718
Value of total assets at end of year2012-12-31$163,113,670
Value of total assets at beginning of year2012-12-31$0
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$313,018
Total interest from all sources2012-12-31$555,556
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$1,827,389
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$1,827,389
Administrative expenses professional fees incurred2012-12-31$6,651
Was this plan covered by a fidelity bond2012-12-31No
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$10,047,145
Participant contributions at end of year2012-12-31$1,068,033
Participant contributions at beginning of year2012-12-31$0
Assets. Other investments not covered elsewhere at end of year2012-12-31$456,459
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$2,480,953
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$476
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$0
Other income not declared elsewhere2012-12-31$11,158
Administrative expenses (other) incurred2012-12-31$256,159
Total non interest bearing cash at end of year2012-12-31$238,617
Total non interest bearing cash at beginning of year2012-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$17,388,963
Value of net assets at end of year (total assets less liabilities)2012-12-31$163,113,670
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Investment advisory and management fees2012-12-31$50,208
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$118,951,984
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$0
Value of interest in pooled separate accounts at end of year2012-12-31$28,282,274
Value of interest in pooled separate accounts at beginning of year2012-12-31$0
Interest on participant loans2012-12-31$47,283
Interest earned on other investments2012-12-31$508,273
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$14,115,827
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$9,834,464
Net investment gain/loss from pooled separate accounts2012-12-31$1,169,685
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31Yes
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$3,458,620
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$11,679,995
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-12-31No
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31PICKETT, CHANEY & MCMULLEN LLP
Accountancy firm EIN2012-12-31481246310

Form 5500 Responses for NREL 403B EMPLOYEE SAVINGS PLAN

2022: NREL 403B EMPLOYEE SAVINGS PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: NREL 403B EMPLOYEE SAVINGS PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: NREL 403B EMPLOYEE SAVINGS PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: NREL 403B EMPLOYEE SAVINGS PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: NREL 403B EMPLOYEE SAVINGS PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: NREL 403B EMPLOYEE SAVINGS PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: NREL 403B EMPLOYEE SAVINGS PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: NREL 403B EMPLOYEE SAVINGS PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: NREL 403B EMPLOYEE SAVINGS PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: NREL 403B EMPLOYEE SAVINGS PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: NREL 403B EMPLOYEE SAVINGS PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01First time form 5500 has been submittedYes
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberTT069474
Policy instance 5
Insurance contract or identification numberTT069474
Number of Individuals Covered0
Insurance policy start date2022-01-01
Insurance policy end date2022-08-29
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151097
Policy instance 4
Insurance contract or identification number151097
Number of Individuals Covered291
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151096
Policy instance 3
Insurance contract or identification number151096
Number of Individuals Covered413
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number005045
Policy instance 2
Insurance contract or identification number005045
Number of Individuals Covered62
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069474
Policy instance 1
Insurance contract or identification numberTT069474
Number of Individuals Covered3851
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069474
Policy instance 1
Insurance contract or identification numberTT069474
Number of Individuals Covered3503
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number005045
Policy instance 2
Insurance contract or identification number005045
Number of Individuals Covered132
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151096
Policy instance 3
Insurance contract or identification number151096
Number of Individuals Covered423
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberTT069474
Policy instance 5
Insurance contract or identification numberTT069474
Number of Individuals Covered3503
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151097
Policy instance 4
Insurance contract or identification number151097
Number of Individuals Covered300
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069474
Policy instance 1
Insurance contract or identification numberTT069474
Number of Individuals Covered3246
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberTT069474
Policy instance 5
Insurance contract or identification numberTT069474
Number of Individuals Covered3246
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number005045
Policy instance 2
Insurance contract or identification number005045
Number of Individuals Covered141
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151096
Policy instance 3
Insurance contract or identification number151096
Number of Individuals Covered438
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151097
Policy instance 4
Insurance contract or identification number151097
Number of Individuals Covered314
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069474
Policy instance 1
Insurance contract or identification numberTT069474
Number of Individuals Covered2970
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151097
Policy instance 4
Insurance contract or identification number151097
Number of Individuals Covered322
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberTT069474
Policy instance 5
Insurance contract or identification numberTT069474
Number of Individuals Covered2970
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number005045
Policy instance 2
Insurance contract or identification number005045
Number of Individuals Covered142
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151096
Policy instance 3
Insurance contract or identification number151096
Number of Individuals Covered449
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069474
Policy instance 1
Insurance contract or identification numberTT069474
Number of Individuals Covered2639
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151096
Policy instance 3
Insurance contract or identification number151096
Number of Individuals Covered464
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151097
Policy instance 4
Insurance contract or identification number151097
Number of Individuals Covered335
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberTT069474
Policy instance 5
Insurance contract or identification numberTT069474
Number of Individuals Covered2639
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number005045
Policy instance 2
Insurance contract or identification number005045
Number of Individuals Covered269
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberTT069474
Policy instance 5
Insurance contract or identification numberTT069474
Number of Individuals Covered2365
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151097
Policy instance 4
Insurance contract or identification number151097
Number of Individuals Covered341
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151096
Policy instance 3
Insurance contract or identification number151096
Number of Individuals Covered481
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number005045
Policy instance 2
Insurance contract or identification number005045
Number of Individuals Covered291
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069474
Policy instance 1
Insurance contract or identification numberTT069474
Number of Individuals Covered2365
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069474
Policy instance 1
Insurance contract or identification numberTT069474
Number of Individuals Covered0
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number005045
Policy instance 2
Insurance contract or identification number005045
Number of Individuals Covered326
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151096
Policy instance 3
Insurance contract or identification number151096
Number of Individuals Covered597
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151097
Policy instance 4
Insurance contract or identification number151097
Number of Individuals Covered477
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberTT069474
Policy instance 5
Insurance contract or identification numberTT069474
Number of Individuals Covered2295
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number005045
Policy instance 2
Insurance contract or identification number005045
Number of Individuals Covered221
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069474
Policy instance 1
Insurance contract or identification numberTT069474
Number of Individuals Covered2160
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151096
Policy instance 3
Insurance contract or identification number151096
Number of Individuals Covered529
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151097
Policy instance 4
Insurance contract or identification number151097
Number of Individuals Covered383
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069474
Policy instance 1
Insurance contract or identification numberTT069474
Number of Individuals Covered1963
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number005045
Policy instance 2
Insurance contract or identification number005045
Number of Individuals Covered221
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151096
Policy instance 3
Insurance contract or identification number151096
Number of Individuals Covered543
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151097
Policy instance 4
Insurance contract or identification number151097
Number of Individuals Covered402
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151097
Policy instance 4
Insurance contract or identification number151097
Number of Individuals Covered423
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TIAA-CREF (National Association of Insurance Commissioners NAIC id number: 69345 )
Policy contract number151096
Policy instance 3
Insurance contract or identification number151096
Number of Individuals Covered563
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number005045
Policy instance 2
Insurance contract or identification number005045
Number of Individuals Covered221
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberTT069474
Policy instance 1
Insurance contract or identification numberTT069474
Number of Individuals Covered1914
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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