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RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 401k Plan overview

Plan NameRUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN
Plan identification number 001

RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

RUBY'S DINER, INC. has sponsored the creation of one or more 401k plans.

Company Name:RUBY'S DINER, INC.
Employer identification number (EIN):330098143
NAIC Classification:722511
NAIC Description:Full-Service Restaurants

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012017-01-01
0012016-01-01
0012015-01-01
0012014-01-01
0012014-01-01
0012013-01-01
0012012-01-01TOM JENKINS TOM JENKINS2013-12-13
0012011-01-01TOM JENKINS TOM JENKINS2013-03-13
0012009-01-01MATT PANNEK MATT PANNEK2010-10-14
0012009-01-01MATT PANNEK MATT PANNEK2010-10-14
0012009-01-01TOM JENKINS TOM JENKINS2012-01-05
0012009-01-01TOM JENKINS TOM JENKINS2012-01-05

Plan Statistics for RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN

401k plan membership statisitcs for RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN

Measure Date Value
2017: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01349
Total number of active participants reported on line 7a of the Form 55002017-01-010
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-010
Total of all active and inactive participants2017-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-010
Number of participants with account balances2017-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01447
Total number of active participants reported on line 7a of the Form 55002016-01-01315
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0123
Total of all active and inactive participants2016-01-01338
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01338
Number of participants with account balances2016-01-0141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01477
Total number of active participants reported on line 7a of the Form 55002015-01-01403
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0128
Total of all active and inactive participants2015-01-01431
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01431
Number of participants with account balances2015-01-0149
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01474
Total number of active participants reported on line 7a of the Form 55002014-01-01351
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0135
Total of all active and inactive participants2014-01-01386
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01386
Number of participants with account balances2014-01-0155
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01460
Total number of active participants reported on line 7a of the Form 55002013-01-01402
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0131
Total of all active and inactive participants2013-01-01433
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01433
Number of participants with account balances2013-01-0158
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01476
Total number of active participants reported on line 7a of the Form 55002012-01-01359
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0133
Total of all active and inactive participants2012-01-01392
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01392
Number of participants with account balances2012-01-0160
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-012
2011: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01561
Total number of active participants reported on line 7a of the Form 55002011-01-01371
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0143
Total of all active and inactive participants2011-01-01414
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01414
Number of participants with account balances2011-01-0168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-015
2009: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01567
Total number of active participants reported on line 7a of the Form 55002009-01-01509
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0132
Total of all active and inactive participants2009-01-01541
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01541
Number of participants with account balances2009-01-0172
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-011

Financial Data on RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN

Measure Date Value
2017 : RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2017 401k financial data
Total income from all sources (including contributions)2017-11-30$186,197
Total of all expenses incurred2017-11-30$1,275,903
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-11-30$1,232,662
Expenses. Certain deemed distributions of participant loans2017-11-30$32,081
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-11-30$35,964
Value of total assets at end of year2017-11-30$0
Value of total assets at beginning of year2017-11-30$1,089,706
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-11-30$11,160
Total interest from all sources2017-11-30$446
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-11-30Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2017-11-30$0
Was this plan covered by a fidelity bond2017-11-30Yes
Value of fidelity bond cover2017-11-30$200,000
If this is an individual account plan, was there a blackout period2017-11-30No
Were there any nonexempt tranactions with any party-in-interest2017-11-30No
Contributions received from participants2017-11-30$32,232
Participant contributions at end of year2017-11-30$0
Participant contributions at beginning of year2017-11-30$7,610
Participant contributions at end of year2017-11-30$0
Participant contributions at beginning of year2017-11-30$1,241
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-11-30$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-11-30$237
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-11-30No
Value of net income/loss2017-11-30$-1,089,706
Value of net assets at end of year (total assets less liabilities)2017-11-30$0
Value of net assets at beginning of year (total assets less liabilities)2017-11-30$1,089,706
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-11-30No
Were any loans by the plan or fixed income obligations due to the plan in default2017-11-30No
Were any leases to which the plan was party in default or uncollectible2017-11-30No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-11-30$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-11-30$990,454
Interest on participant loans2017-11-30$431
Interest earned on other investments2017-11-30$15
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-11-30$89,936
Net investment gain/loss from pooled separate accounts2017-11-30$149,787
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-11-30No
Was there a failure to transmit to the plan any participant contributions2017-11-30No
Has the plan failed to provide any benefit when due under the plan2017-11-30No
Contributions received in cash from employer2017-11-30$3,732
Employer contributions (assets) at end of year2017-11-30$0
Employer contributions (assets) at beginning of year2017-11-30$228
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-11-30$1,232,662
Contract administrator fees2017-11-30$11,160
Did the plan have assets held for investment2017-11-30No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-11-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-11-30Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-11-30Yes
Opinion of an independent qualified public accountant for this plan2017-11-30Disclaimer
Accountancy firm name2017-11-30DAVID L. BUCK, CPA
Accountancy firm EIN2017-11-30752988353
2016 : RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$110,769
Total of all expenses incurred2016-12-31$79,204
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$75,350
Expenses. Certain deemed distributions of participant loans2016-12-31$2,479
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$65,699
Value of total assets at end of year2016-12-31$1,089,706
Value of total assets at beginning of year2016-12-31$1,058,141
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$1,375
Total interest from all sources2016-12-31$2,768
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$200,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$59,172
Participant contributions at end of year2016-12-31$7,610
Participant contributions at beginning of year2016-12-31$17,663
Participant contributions at end of year2016-12-31$1,241
Participant contributions at beginning of year2016-12-31$4,853
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$237
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$378
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) 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$31,565
Value of net assets at end of year (total assets less liabilities)2016-12-31$1,089,706
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$1,058,141
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$990,454
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$947,644
Interest on participant loans2016-12-31$141
Interest earned on other investments2016-12-31$2,627
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$89,936
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$87,309
Net investment gain/loss from pooled separate accounts2016-12-31$42,302
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$6,527
Employer contributions (assets) at end of year2016-12-31$228
Employer contributions (assets) at beginning of year2016-12-31$294
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$75,350
Contract administrator fees2016-12-31$1,375
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 name2016-12-31DAVID L. BUCK, CPA
Accountancy firm EIN2016-12-31752988353
2015 : RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$2,040
Total unrealized appreciation/depreciation of assets2015-12-31$2,040
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$370
Total income from all sources (including contributions)2015-12-31$44,379
Total of all expenses incurred2015-12-31$38,077
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$33,217
Expenses. Certain deemed distributions of participant loans2015-12-31$4,300
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$51,787
Value of total assets at end of year2015-12-31$1,058,141
Value of total assets at beginning of year2015-12-31$1,052,209
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$560
Total interest from all sources2015-12-31$3,844
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$200,000
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$45,717
Participant contributions at end of year2015-12-31$17,663
Participant contributions at beginning of year2015-12-31$30,452
Participant contributions at end of year2015-12-31$4,853
Participant contributions at beginning of year2015-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$378
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$370
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$6,302
Value of net assets at end of year (total assets less liabilities)2015-12-31$1,058,141
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$1,051,839
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$947,644
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$942,172
Interest on participant loans2015-12-31$1,322
Interest earned on other investments2015-12-31$2,522
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$87,309
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$79,585
Net investment gain/loss from pooled separate accounts2015-12-31$-13,292
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 contributions2015-12-31Yes
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$6,070
Employer contributions (assets) at end of year2015-12-31$294
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$33,217
Contract administrator fees2015-12-31$560
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 name2015-12-31DAVID L. BUCK, CPA
Accountancy firm EIN2015-12-31752988353
2014 : RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$1,848
Total unrealized appreciation/depreciation of assets2014-12-31$1,848
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$370
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$2,441
Expenses. Interest paid2014-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022014-12-31$0
Total income from all sources (including contributions)2014-12-31$107,887
Total of all expenses incurred2014-12-31$83,077
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$78,373
Expenses. Certain deemed distributions of participant loans2014-12-31$4,058
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$48,866
Value of total assets at end of year2014-12-31$1,054,250
Value of total assets at beginning of year2014-12-31$1,031,881
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$646
Total interest from all sources2014-12-31$2,220
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$200,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$41,353
Participant contributions at end of year2014-12-31$30,452
Participant contributions at beginning of year2014-12-31$30,867
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$370
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$2,441
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$24,810
Value of net assets at end of year (total assets less liabilities)2014-12-31$1,054,250
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$1,029,440
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$942,172
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$929,036
Interest on participant loans2014-12-31$2,220
Interest earned on other investments2014-12-31$2,293
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$81,626
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$71,978
Net investment gain/loss from pooled separate accounts2014-12-31$54,953
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$7,513
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$78,373
Contract administrator fees2014-12-31$646
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31DAVID L. BUCK, CPA
Accountancy firm EIN2014-12-31752988353
2013 : RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$-201
Total unrealized appreciation/depreciation of assets2013-12-31$-201
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$2,441
Total income from all sources (including contributions)2013-12-31$227,353
Total of all expenses incurred2013-12-31$61,620
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$55,970
Value of total corrective distributions2013-12-31$5,175
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$58,991
Value of total assets at end of year2013-12-31$1,032,085
Value of total assets at beginning of year2013-12-31$866,352
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$475
Total interest from all sources2013-12-31$168,362
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$200,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$50,261
Participant contributions at end of year2013-12-31$30,867
Participant contributions at beginning of year2013-12-31$22,955
Participant contributions at beginning of year2013-12-31$71
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$278
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$2,441
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$165,733
Value of net assets at end of year (total assets less liabilities)2013-12-31$1,032,085
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$866,352
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$929,037
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$778,887
Interest on participant loans2013-12-31$733
Interest earned on other investments2013-12-31$167,629
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$72,181
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$64,132
Net investment gain/loss from pooled separate accounts2013-12-31$165,562
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$8,730
Employer contributions (assets) at beginning of year2013-12-31$29
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$55,970
Contract administrator fees2013-12-31$475
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31DAVID L. BUCK, CPA
Accountancy firm EIN2013-12-31752988353
2012 : RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$-175
Total unrealized appreciation/depreciation of assets2012-12-31$-175
Total income from all sources (including contributions)2012-12-31$146,044
Total of all expenses incurred2012-12-31$86,938
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$64,213
Expenses. Certain deemed distributions of participant loans2012-12-31$11,342
Value of total corrective distributions2012-12-31$4,798
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$59,368
Value of total assets at end of year2012-12-31$866,352
Value of total assets at beginning of year2012-12-31$807,246
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$6,585
Total interest from all sources2012-12-31$3,181
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$200,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$50,603
Participant contributions at end of year2012-12-31$22,955
Participant contributions at beginning of year2012-12-31$42,785
Participant contributions at end of year2012-12-31$71
Participant contributions at beginning of year2012-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$278
Value of other receiveables (less allowance for doubtful accounts) 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$59,106
Value of net assets at end of year (total assets less liabilities)2012-12-31$866,352
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$807,246
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$778,887
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$707,149
Interest on participant loans2012-12-31$1,335
Interest earned on other investments2012-12-31$1,846
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$64,132
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$57,312
Net investment gain/loss from pooled separate accounts2012-12-31$83,670
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 contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$8,765
Employer contributions (assets) at end of year2012-12-31$29
Employer contributions (assets) at beginning of year2012-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$64,213
Contract administrator fees2012-12-31$6,585
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31DAVID L. BUCK, CPA
Accountancy firm EIN2012-12-31752988353
2011 : RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$-1,089
Total unrealized appreciation/depreciation of assets2011-12-31$-1,089
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$37,517
Total of all expenses incurred2011-12-31$155,429
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$147,428
Expenses. Certain deemed distributions of participant loans2011-12-31$7,001
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$64,176
Value of total assets at end of year2011-12-31$808,716
Value of total assets at beginning of year2011-12-31$926,628
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$1,000
Total interest from all sources2011-12-31$3,954
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$200,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$54,083
Participant contributions at end of year2011-12-31$42,785
Participant contributions at beginning of year2011-12-31$53,824
Participant contributions at end of year2011-12-31$0
Participant contributions at beginning of year2011-12-31$404
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$0
Other income not declared elsewhere2011-12-31$94
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-117,912
Value of net assets at end of year (total assets less liabilities)2011-12-31$808,716
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$926,628
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$707,149
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$821,957
Interest on participant loans2011-12-31$1,923
Interest earned on other investments2011-12-31$2,031
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$58,782
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$50,405
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-30,707
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$10,093
Employer contributions (assets) at end of year2011-12-31$0
Employer contributions (assets) at beginning of year2011-12-31$38
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$147,428
Contract administrator fees2011-12-31$1,000
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31DAVID L. BUCK, CPA
Accountancy firm EIN2011-12-31752988353
2010 : RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$-381
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$190,035
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$55,581
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$46,691
Expenses. Certain deemed distributions of participant loans2010-12-31$1,090
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$93,320
Value of total assets at end of year2010-12-31$927,009
Value of total assets at beginning of year2010-12-31$792,555
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$7,800
Total interest from all sources2010-12-31$4,519
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$200,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$85,594
Participant contributions at end of year2010-12-31$53,824
Participant contributions at beginning of year2010-12-31$25,556
Participant contributions at end of year2010-12-31$404
Participant contributions at beginning of year2010-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$482
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Income. Non cash contributions2010-12-31$0
Value of net income/loss2010-12-31$134,454
Value of net assets at end of year (total assets less liabilities)2010-12-31$927,009
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$792,555
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$821,957
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$707,100
Interest on participant loans2010-12-31$2,623
Interest earned on other investments2010-12-31$1,896
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$50,786
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$59,899
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$92,196
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31Yes
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$7,244
Employer contributions (assets) at end of year2010-12-31$38
Employer contributions (assets) at beginning of year2010-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$46,691
Contract administrator fees2010-12-31$7,800
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31DAVID L. BUCK, CPA
Accountancy firm EIN2010-12-31752988353

Form 5500 Responses for RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN

2017: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingYes
2017-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2017-01-01Plan is a collectively bargained planNo
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: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
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: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
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: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedYes
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
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: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedYes
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
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: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedYes
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedYes
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: RUBY'S DINER, INC. SAVINGS AND RETIREMENT PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 78778 )
Policy contract number601248
Policy instance 1
Insurance contract or identification number601248
Insurance policy start date2017-01-01
Insurance policy end date2017-11-30
Total amount of commissions paid to insurance brokerUSD $4,948
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,948
Insurance broker organization code?3
Insurance broker nameTHADDEUS W SMITH & ASSOCIATES
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 78778 )
Policy contract number601248
Policy instance 1
Insurance contract or identification number601248
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $5,160
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $5,160
Insurance broker organization code?3
Insurance broker nameTHADDEUS W SMITH AND ASSOCIATES
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 78778 )
Policy contract number601248
Policy instance 1
Insurance contract or identification number601248
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $5,080
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $5,080
Insurance broker organization code?3
Insurance broker nameTHADDEUS W SMITH AND ASSOCIATES
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 78778 )
Policy contract number601248
Policy instance 1
Insurance contract or identification number601248
Number of Individuals Covered60
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $4,499
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?Yes
Commission paid to Insurance BrokerUSD $4,499
Insurance broker organization code?3
Insurance broker nameTHADDEUS W SMITH AND ASSOCIATES
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 78778 )
Policy contract number601248
Policy instance 1
Insurance contract or identification number601248
Number of Individuals Covered68
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $4,019
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,019
Insurance broker organization code?3
Insurance broker nameTHADDEUS W SMITH AND ASSOCIATES
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 78778 )
Policy contract number601248
Policy instance 1
Insurance contract or identification number601248
Number of Individuals Covered66
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $4,182
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA (National Association of Insurance Commissioners NAIC id number: 78778 )
Policy contract number601248
Policy instance 1
Insurance contract or identification number601248
Number of Individuals Covered71
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $4,004
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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