401k Plan data: WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN plan

WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN 401k Plan overview

Plan Name	WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN
Plan identification number	001

WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily pay related
Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Life insurance

401k Sponsoring company profile

WINSTON & ASSOCIATES INSURANCE BROKERS, INC. has sponsored the creation of one or more 401k plans.

Company Name: WINSTON & ASSOCIATES INSURANCE BROKERS, INC.

Employer identification number (EIN): 330468552

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-12-31
001 2016-12-31
001 2015-12-31 ALAN WINSTON 2017-09-15
001 2014-12-31 ALAN WINSTON 2016-10-17
001 2013-12-31 ALAN WINSTON 2015-10-06
001 2012-12-31 ALAN WINSTON 2014-10-03
001 2011-12-31 ALAN WINSTON 2013-10-04
001 2010-12-31 ALAN WINSTON
001 2009-12-31 ALAN WINSTON 2011-10-12
001 2008-12-31 ALAN WINSTON

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2017-12-31
001	2016-12-31
001	2015-12-31	ALAN WINSTON	2017-09-15
001	2014-12-31	ALAN WINSTON	2016-10-17
001	2013-12-31	ALAN WINSTON	2015-10-06
001	2012-12-31	ALAN WINSTON	2014-10-03
001	2011-12-31	ALAN WINSTON	2013-10-04
001	2010-12-31	ALAN WINSTON
001	2009-12-31	ALAN WINSTON	2011-10-12
001	2008-12-31	ALAN WINSTON

Plan Statistics for WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN

401k plan membership statisitcs for WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN

Measure Date Value
2017: WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN 2017 401k membership
Market value of plan assets 2017-12-30 963,322
Acturial value of plan assets 2017-12-30 963,322
Funding target for retired participants and beneficiaries receiving payment 2017-12-30 0
Number of terminated vested participants 2017-12-30 1
Fundng target for terminated vested participants 2017-12-30 23,042
Active participant vested funding target 2017-12-30 912,472
Number of active participants 2017-12-30 2
Total funding liabilities for active participants 2017-12-30 912,472
Total participant count 2017-12-30 3
Total funding target for all participants 2017-12-30 935,514
Balance at beginning of prior year after applicable adjustments 2017-12-30 0
Prefunding balance at beginning of prior year after applicable adjustments 2017-12-30 48,450
Prefunding balanced used to offset prior years funding requirement 2017-12-30 0
Amount remaining of carryover balance 2017-12-30 0
Amount remaining of prefunding balance 2017-12-30 48,450
Present value of excess contributions 2017-12-30 92,727
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2017-12-30 92,727
Balance of carryovers at beginning of current year 2017-12-30 0
Balance of prefunding at beginning of current year 2017-12-30 50,756
Total employer contributions 2017-12-30 0
Total employee contributions 2017-12-30 0
Contributions allocated toward unpaid minimum require contributions from prior years 2017-12-30 0
Contributions made to avoid restrictions adjusted to valuation date 2017-12-30 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2017-12-30 0
Unpaid minimum required contributions for all prior years 2017-12-30 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2017-12-30 0
Remaining amount of unpaid minimum required contributions 2017-12-30 0
Minimum required contributions for current year target normal cost 2017-12-30 0
Net shortfall amortization installment of oustanding balance 2017-12-30 22,947
Total funding amount beforereflecting carryover/prefunding balances 2017-12-30 3,121
Prefunding balance elected to use to offset funding requirement 2017-12-30 3,121
Additional cash requirement 2017-12-30 0
Contributions allocatedtoward minimum required contributions for current year 2017-12-30 0
Unpaid minimum required contributions for current year 2017-12-30 0
Unpaid minimum required contributions for all years 2017-12-30 0
2010: WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-12-31 6
Total number of active participants reported on line 7a of the Form 5500 2010-12-31 3
Number of other retired or separated participants entitled to future benefits 2010-12-31 3
Total of all active and inactive participants 2010-12-31 6
Total participants 2010-12-31 6
2008: WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN 2008 401k membership
Total participants, beginning-of-year 2008-12-31 4
Total number of active participants reported on line 7a of the Form 5500 2008-12-31 1
Number of other retired or separated participants entitled to future benefits 2008-12-31 3
Total of all active and inactive participants 2008-12-31 4
Total participants 2008-12-31 4

Measure	Date	Value
2017: WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN 2017 401k membership
Market value of plan assets	2017-12-30	963,322
Acturial value of plan assets	2017-12-30	963,322
Funding target for retired participants and beneficiaries receiving payment	2017-12-30	0
Number of terminated vested participants	2017-12-30	1
Fundng target for terminated vested participants	2017-12-30	23,042
Active participant vested funding target	2017-12-30	912,472
Number of active participants	2017-12-30	2
Total funding liabilities for active participants	2017-12-30	912,472
Total participant count	2017-12-30	3
Total funding target for all participants	2017-12-30	935,514
Balance at beginning of prior year after applicable adjustments	2017-12-30	0
Prefunding balance at beginning of prior year after applicable adjustments	2017-12-30	48,450
Prefunding balanced used to offset prior years funding requirement	2017-12-30	0
Amount remaining of carryover balance	2017-12-30	0
Amount remaining of prefunding balance	2017-12-30	48,450
Present value of excess contributions	2017-12-30	92,727
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2017-12-30	92,727
Balance of carryovers at beginning of current year	2017-12-30	0
Balance of prefunding at beginning of current year	2017-12-30	50,756
Total employer contributions	2017-12-30	0
Total employee contributions	2017-12-30	0
Contributions allocated toward unpaid minimum require contributions from prior years	2017-12-30	0
Contributions made to avoid restrictions adjusted to valuation date	2017-12-30	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2017-12-30	0
Unpaid minimum required contributions for all prior years	2017-12-30	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2017-12-30	0
Remaining amount of unpaid minimum required contributions	2017-12-30	0
Minimum required contributions for current year target normal cost	2017-12-30	0
Net shortfall amortization installment of oustanding balance	2017-12-30	22,947
Total funding amount beforereflecting carryover/prefunding balances	2017-12-30	3,121
Prefunding balance elected to use to offset funding requirement	2017-12-30	3,121
Additional cash requirement	2017-12-30	0
Contributions allocatedtoward minimum required contributions for current year	2017-12-30	0
Unpaid minimum required contributions for current year	2017-12-30	0
Unpaid minimum required contributions for all years	2017-12-30	0
2010: WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-12-31	6
Total number of active participants reported on line 7a of the Form 5500	2010-12-31	3
Number of other retired or separated participants entitled to future benefits	2010-12-31	3
Total of all active and inactive participants	2010-12-31	6
Total participants	2010-12-31	6
2008: WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN 2008 401k membership
Total participants, beginning-of-year	2008-12-31	4
Total number of active participants reported on line 7a of the Form 5500	2008-12-31	1
Number of other retired or separated participants entitled to future benefits	2008-12-31	3
Total of all active and inactive participants	2008-12-31	4
Total participants	2008-12-31	4

Financial Data on WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN

Measure	Date	Value
2011 : WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN 2011 401k financial data
Total income from all sources	2011-12-30	$12,273
Expenses. Total of all expenses incurred	2011-12-30	$9,218
Total plan assets at end of year	2011-12-30	$760,991
Total plan assets at beginning of year	2011-12-30	$757,936
Value of fidelity bond covering the plan	2011-12-30	$50,000
Other income received	2011-12-30	$12,273
Net income (gross income less expenses)	2011-12-30	$3,055
Net plan assets at end of year (total assets less liabilities)	2011-12-30	$760,991
Net plan assets at beginning of year (total assets less liabilities)	2011-12-30	$757,936
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-30	$9,218
2009 : WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN 2009 401k financial data
Total income from all sources	2009-12-30	$107,378
Expenses. Total of all expenses incurred	2009-12-30	$8,068
Total plan assets at end of year	2009-12-30	$728,372
Total plan assets at beginning of year	2009-12-30	$629,062
Value of fidelity bond covering the plan	2009-12-30	$500,000
Expenses. Other expenses not covered elsewhere	2009-12-30	$8,068
Other income received	2009-12-30	$4,378
Net income (gross income less expenses)	2009-12-30	$99,310
Net plan assets at end of year (total assets less liabilities)	2009-12-30	$728,372
Net plan assets at beginning of year (total assets less liabilities)	2009-12-30	$629,062
Total contributions received or receivable from employer(s)	2009-12-30	$103,000

Form 5500 Responses for WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN

2010: WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN 2010 form 5500 responses
2010-12-31	Type of plan entity	Single employer plan
2010-12-31	Plan funding arrangement – Insurance	Yes
2010-12-31	Plan funding arrangement – Trust	Yes
2010-12-31	Plan benefit arrangement – Insurance	Yes
2010-12-31	Plan benefit arrangement - Trust	Yes
2008: WINSTON & ASSOCIATES INSURANCE BROKERS, INC. DEFINED BENEFIT PLAN 2008 form 5500 responses
2008-12-31	Type of plan entity	Single employer plan
2008-12-31	Submission has been amended	Yes
2008-12-31	Plan funding arrangement – Insurance	Yes
2008-12-31	Plan funding arrangement – Trust	Yes
2008-12-31	Plan benefit arrangement – Insurance	Yes
2008-12-31	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PACIFIC LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67466 )

Policy contract number

INDIVIDUAL

Policy instance

Insurance contract or identification number	INDIVIDUAL
Number of Individuals Covered	1
Insurance policy start date	2008-12-31
Insurance policy end date	2009-12-30
Total amount of commissions paid to insurance broker	USD $2,195
Are there contracts with allocated funds for individual policies?	Yes
Commission paid to Insurance Broker	USD $1,756
Insurance broker name	BRUCE K. GENDEIN

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Company Name:	WINSTON & ASSOCIATES INSURANCE BROKERS, INC.
Employer identification number (EIN):	330468552
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages