CAILOR FLEMING & ASSOCIATES, INC has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan CAILOR FLEMING & ASSOC. 401(K) PLAN
401k plan membership statisitcs for CAILOR FLEMING & ASSOC. 401(K) PLAN
Measure | Date | Value |
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2014: CAILOR FLEMING & ASSOC. 401(K) PLAN 2014 401k membership |
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Total participants, beginning-of-year | 2014-01-01 | 16 |
Total number of active participants reported on line 7a of the Form 5500 | 2014-01-01 | 14 |
Number of retired or separated participants receiving benefits | 2014-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2014-01-01 | 2 |
Total of all active and inactive participants | 2014-01-01 | 16 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2014-01-01 | 0 |
Total participants | 2014-01-01 | 16 |
Number of participants with account balances | 2014-01-01 | 16 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2014-01-01 | 0 |
2013: CAILOR FLEMING & ASSOC. 401(K) PLAN 2013 401k membership |
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Total participants, beginning-of-year | 2013-01-01 | 17 |
Total number of active participants reported on line 7a of the Form 5500 | 2013-01-01 | 14 |
Number of retired or separated participants receiving benefits | 2013-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2013-01-01 | 2 |
Total of all active and inactive participants | 2013-01-01 | 16 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2013-01-01 | 0 |
Total participants | 2013-01-01 | 16 |
Number of participants with account balances | 2013-01-01 | 15 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2013-01-01 | 0 |
2012: CAILOR FLEMING & ASSOC. 401(K) PLAN 2012 401k membership |
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Total participants, beginning-of-year | 2012-01-01 | 18 |
Total number of active participants reported on line 7a of the Form 5500 | 2012-01-01 | 15 |
Number of retired or separated participants receiving benefits | 2012-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2012-01-01 | 3 |
Total of all active and inactive participants | 2012-01-01 | 18 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2012-01-01 | 0 |
Total participants | 2012-01-01 | 18 |
Number of participants with account balances | 2012-01-01 | 15 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2012-01-01 | 0 |
2011: CAILOR FLEMING & ASSOC. 401(K) PLAN 2011 401k membership |
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Total participants, beginning-of-year | 2011-01-01 | 18 |
Total number of active participants reported on line 7a of the Form 5500 | 2011-01-01 | 16 |
Number of retired or separated participants receiving benefits | 2011-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2011-01-01 | 2 |
Total of all active and inactive participants | 2011-01-01 | 18 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2011-01-01 | 0 |
Total participants | 2011-01-01 | 18 |
Number of participants with account balances | 2011-01-01 | 18 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2011-01-01 | 0 |
2009: CAILOR FLEMING & ASSOC. 401(K) PLAN 2009 401k membership |
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Total participants, beginning-of-year | 2009-01-01 | 19 |
Total number of active participants reported on line 7a of the Form 5500 | 2009-01-01 | 17 |
Number of retired or separated participants receiving benefits | 2009-01-01 | 0 |
Number of other retired or separated participants entitled to future benefits | 2009-01-01 | 3 |
Total of all active and inactive participants | 2009-01-01 | 20 |
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2009-01-01 | 0 |
Total participants | 2009-01-01 | 20 |
Number of participants with account balances | 2009-01-01 | 19 |
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2009-01-01 | 0 |
Measure | Date | Value |
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2014 : CAILOR FLEMING & ASSOC. 401(K) PLAN 2014 401k financial data |
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Transfers to/from the plan | 2014-12-31 | $4 |
Total income from all sources | 2014-12-31 | $179,371 |
Expenses. Total of all expenses incurred | 2014-12-31 | $20,276 |
Benefits paid (including direct rollovers) | 2014-12-31 | $20,006 |
Total plan assets at end of year | 2014-12-31 | $2,282,198 |
Total plan assets at beginning of year | 2014-12-31 | $2,123,099 |
Value of fidelity bond covering the plan | 2014-12-31 | $300,000 |
Total contributions received or receivable from participants | 2014-12-31 | $80,672 |
Expenses. Other expenses not covered elsewhere | 2014-12-31 | $270 |
Contributions received from other sources (not participants or employers) | 2014-12-31 | $0 |
Other income received | 2014-12-31 | $63,856 |
Net income (gross income less expenses) | 2014-12-31 | $159,095 |
Net plan assets at end of year (total assets less liabilities) | 2014-12-31 | $2,282,198 |
Net plan assets at beginning of year (total assets less liabilities) | 2014-12-31 | $2,123,099 |
Assets. Value of participant loans | 2014-12-31 | $43,904 |
Total contributions received or receivable from employer(s) | 2014-12-31 | $34,843 |
Value of certain deemed distributions of participant loans | 2014-12-31 | $0 |
Value of corrective distributions | 2014-12-31 | $0 |
Funding deficiency by the employer to the plan for this plan year | 2014-12-31 | $0 |
Minimum employer required contribution for this plan year | 2014-12-31 | $0 |
Amount contributed by the employer to the plan for this plan year | 2014-12-31 | $0 |
2013 : CAILOR FLEMING & ASSOC. 401(K) PLAN 2013 401k financial data |
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Transfers to/from the plan | 2013-12-31 | $261 |
Total income from all sources | 2013-12-31 | $256,518 |
Expenses. Total of all expenses incurred | 2013-12-31 | $195,258 |
Benefits paid (including direct rollovers) | 2013-12-31 | $194,943 |
Total plan assets at end of year | 2013-12-31 | $2,123,099 |
Total plan assets at beginning of year | 2013-12-31 | $2,061,578 |
Value of fidelity bond covering the plan | 2013-12-31 | $300,000 |
Total contributions received or receivable from participants | 2013-12-31 | $77,696 |
Expenses. Other expenses not covered elsewhere | 2013-12-31 | $315 |
Contributions received from other sources (not participants or employers) | 2013-12-31 | $0 |
Other income received | 2013-12-31 | $146,144 |
Net income (gross income less expenses) | 2013-12-31 | $61,260 |
Net plan assets at end of year (total assets less liabilities) | 2013-12-31 | $2,123,099 |
Net plan assets at beginning of year (total assets less liabilities) | 2013-12-31 | $2,061,578 |
Assets. Value of participant loans | 2013-12-31 | $45,037 |
Total contributions received or receivable from employer(s) | 2013-12-31 | $32,678 |
Value of certain deemed distributions of participant loans | 2013-12-31 | $0 |
Value of corrective distributions | 2013-12-31 | $0 |
Funding deficiency by the employer to the plan for this plan year | 2013-12-31 | $0 |
Minimum employer required contribution for this plan year | 2013-12-31 | $0 |
Amount contributed by the employer to the plan for this plan year | 2013-12-31 | $0 |
2012 : CAILOR FLEMING & ASSOC. 401(K) PLAN 2012 401k financial data |
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Transfers to/from the plan | 2012-12-31 | $0 |
Total income from all sources | 2012-12-31 | $336,098 |
Expenses. Total of all expenses incurred | 2012-12-31 | $57,313 |
Benefits paid (including direct rollovers) | 2012-12-31 | $57,240 |
Total plan assets at end of year | 2012-12-31 | $2,061,578 |
Total plan assets at beginning of year | 2012-12-31 | $1,782,793 |
Value of fidelity bond covering the plan | 2012-12-31 | $300,000 |
Total contributions received or receivable from participants | 2012-12-31 | $80,285 |
Expenses. Other expenses not covered elsewhere | 2012-12-31 | $73 |
Contributions received from other sources (not participants or employers) | 2012-12-31 | $19,116 |
Other income received | 2012-12-31 | $199,951 |
Net income (gross income less expenses) | 2012-12-31 | $278,785 |
Net plan assets at end of year (total assets less liabilities) | 2012-12-31 | $2,061,578 |
Net plan assets at beginning of year (total assets less liabilities) | 2012-12-31 | $1,782,793 |
Assets. Value of participant loans | 2012-12-31 | $10,913 |
Total contributions received or receivable from employer(s) | 2012-12-31 | $36,746 |
Value of certain deemed distributions of participant loans | 2012-12-31 | $0 |
Value of corrective distributions | 2012-12-31 | $0 |
Funding deficiency by the employer to the plan for this plan year | 2012-12-31 | $0 |
Minimum employer required contribution for this plan year | 2012-12-31 | $0 |
Amount contributed by the employer to the plan for this plan year | 2012-12-31 | $0 |
2011 : CAILOR FLEMING & ASSOC. 401(K) PLAN 2011 401k financial data |
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Total income from all sources | 2011-12-31 | $105,799 |
Expenses. Total of all expenses incurred | 2011-12-31 | $506,571 |
Benefits paid (including direct rollovers) | 2011-12-31 | $506,335 |
Total plan assets at end of year | 2011-12-31 | $1,782,793 |
Total plan assets at beginning of year | 2011-12-31 | $2,183,565 |
Value of fidelity bond covering the plan | 2011-12-31 | $300,000 |
Total contributions received or receivable from participants | 2011-12-31 | $83,102 |
Expenses. Other expenses not covered elsewhere | 2011-12-31 | $236 |
Contributions received from other sources (not participants or employers) | 2011-12-31 | $0 |
Other income received | 2011-12-31 | $-12,439 |
Net income (gross income less expenses) | 2011-12-31 | $-400,772 |
Net plan assets at end of year (total assets less liabilities) | 2011-12-31 | $1,782,793 |
Net plan assets at beginning of year (total assets less liabilities) | 2011-12-31 | $2,183,565 |
Assets. Value of participant loans | 2011-12-31 | $14,907 |
Total contributions received or receivable from employer(s) | 2011-12-31 | $35,136 |
Value of certain deemed distributions of participant loans | 2011-12-31 | $0 |
Value of corrective distributions | 2011-12-31 | $0 |
Funding deficiency by the employer to the plan for this plan year | 2011-12-31 | $0 |
Minimum employer required contribution for this plan year | 2011-12-31 | $0 |
Amount contributed by the employer to the plan for this plan year | 2011-12-31 | $0 |
2010 : CAILOR FLEMING & ASSOC. 401(K) PLAN 2010 401k financial data |
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Transfers to/from the plan | 2010-12-31 | $0 |
Total income from all sources | 2010-12-31 | $332,768 |
Expenses. Total of all expenses incurred | 2010-12-31 | $116,713 |
Benefits paid (including direct rollovers) | 2010-12-31 | $116,643 |
Total plan assets at end of year | 2010-12-31 | $2,183,565 |
Total plan assets at beginning of year | 2010-12-31 | $1,967,510 |
Value of fidelity bond covering the plan | 2010-12-31 | $200,000 |
Total contributions received or receivable from participants | 2010-12-31 | $81,795 |
Expenses. Other expenses not covered elsewhere | 2010-12-31 | $70 |
Contributions received from other sources (not participants or employers) | 2010-12-31 | $0 |
Other income received | 2010-12-31 | $214,247 |
Net income (gross income less expenses) | 2010-12-31 | $216,055 |
Net plan assets at end of year (total assets less liabilities) | 2010-12-31 | $2,183,565 |
Net plan assets at beginning of year (total assets less liabilities) | 2010-12-31 | $1,967,510 |
Assets. Value of participant loans | 2010-12-31 | $6,132 |
Total contributions received or receivable from employer(s) | 2010-12-31 | $36,726 |
Value of certain deemed distributions of participant loans | 2010-12-31 | $0 |
Value of corrective distributions | 2010-12-31 | $0 |
Funding deficiency by the employer to the plan for this plan year | 2010-12-31 | $0 |
Minimum employer required contribution for this plan year | 2010-12-31 | $0 |
Amount contributed by the employer to the plan for this plan year | 2010-12-31 | $0 |
2009 : CAILOR FLEMING & ASSOC. 401(K) PLAN 2009 401k financial data |
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Funding deficiency by the employer to the plan for this plan year | 2009-12-31 | $0 |
Minimum employer required contribution for this plan year | 2009-12-31 | $0 |
Amount contributed by the employer to the plan for this plan year | 2009-12-31 | $0 |
2014: CAILOR FLEMING & ASSOC. 401(K) PLAN 2014 form 5500 responses |
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2014-01-01 | Type of plan entity | Single employer plan |
2014-01-01 | Submission has been amended | No |
2014-01-01 | This submission is the final filing | No |
2014-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2014-01-01 | Plan is a collectively bargained plan | No |
2014-01-01 | Plan funding arrangement – Insurance | Yes |
2014-01-01 | Plan funding arrangement – Trust | Yes |
2014-01-01 | Plan benefit arrangement – Insurance | Yes |
2013: CAILOR FLEMING & ASSOC. 401(K) PLAN 2013 form 5500 responses |
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2013-01-01 | Type of plan entity | Single employer plan |
2013-01-01 | Submission has been amended | No |
2013-01-01 | This submission is the final filing | No |
2013-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2013-01-01 | Plan is a collectively bargained plan | No |
2013-01-01 | Plan funding arrangement – Insurance | Yes |
2013-01-01 | Plan funding arrangement – Trust | Yes |
2013-01-01 | Plan benefit arrangement – Insurance | Yes |
2012: CAILOR FLEMING & ASSOC. 401(K) PLAN 2012 form 5500 responses |
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2012-01-01 | Type of plan entity | Single employer plan |
2012-01-01 | Submission has been amended | No |
2012-01-01 | This submission is the final filing | No |
2012-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2012-01-01 | Plan is a collectively bargained plan | No |
2012-01-01 | Plan funding arrangement – Insurance | Yes |
2012-01-01 | Plan funding arrangement – Trust | Yes |
2012-01-01 | Plan benefit arrangement – Insurance | Yes |
2011: CAILOR FLEMING & ASSOC. 401(K) PLAN 2011 form 5500 responses |
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2011-01-01 | Type of plan entity | Single employer plan |
2011-01-01 | Submission has been amended | No |
2011-01-01 | This submission is the final filing | No |
2011-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2011-01-01 | Plan is a collectively bargained plan | No |
2011-01-01 | Plan funding arrangement – Insurance | Yes |
2011-01-01 | Plan funding arrangement – Trust | Yes |
2011-01-01 | Plan benefit arrangement – Insurance | Yes |
2009: CAILOR FLEMING & ASSOC. 401(K) PLAN 2009 form 5500 responses |
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2009-01-01 | Type of plan entity | Single employer plan |
2009-01-01 | Submission has been amended | No |
2009-01-01 | This submission is the final filing | No |
2009-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
2009-01-01 | Plan is a collectively bargained plan | No |
2009-01-01 | Plan funding arrangement – Insurance | Yes |
2009-01-01 | Plan funding arrangement – Trust | Yes |
2009-01-01 | Plan benefit arrangement – Insurance | Yes |
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 ) |
Policy contract number | GA-824662 |
Policy instance | 1 |
Insurance contract or identification number | GA-824662 | Number of Individuals Covered | 16 | Insurance policy start date | 2014-01-01 | Insurance policy end date | 2014-12-31 | Total amount of commissions paid to insurance broker | USD $8,476 | Total amount of fees paid to insurance company | USD $0 | Are there contracts with allocated funds for individual policies? | No | Are there contracts with allocated funds for group deferred annuity? | No | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Are there contracts with unallocated funds for contracts of type immediate participation guarantee? | No | Are there contracts with unallocated funds for contracts of type guaranteed investment? | No | Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | Yes | Health Insurance Welfare Benefit | No | Dental Insurance Welfare Benefit | No | Vision Insurance Welfare Benefit | No | Life Insurance Welfare Benefit | No | Temporary Disability Insurance Welfare Benefit | No | Long Term Disability Insurance Welfare Benefit | No | Unemployment Insurance Welfare Benefit | No | Were dividends or retroactive rate refunds paid in cash? | No | Were dividends or retroactive rate refunds paid as a credit? | No | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $8,476 | Insurance broker organization code? | 3 | Insurance broker name | SAGEPOINT FINANCIAL, INC |
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HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 ) |
Policy contract number | GA-824662 |
Policy instance | 1 |
Insurance contract or identification number | GA-824662 | Number of Individuals Covered | 15 | Insurance policy start date | 2013-01-01 | Insurance policy end date | 2013-12-31 | Total amount of commissions paid to insurance broker | USD $8,104 | Total amount of fees paid to insurance company | USD $0 | Are there contracts with allocated funds for individual policies? | No | Are there contracts with allocated funds for group deferred annuity? | No | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Are there contracts with unallocated funds for contracts of type immediate participation guarantee? | No | Are there contracts with unallocated funds for contracts of type guaranteed investment? | No | Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | Yes | Health Insurance Welfare Benefit | No | Dental Insurance Welfare Benefit | No | Vision Insurance Welfare Benefit | No | Life Insurance Welfare Benefit | No | Temporary Disability Insurance Welfare Benefit | No | Long Term Disability Insurance Welfare Benefit | No | Unemployment Insurance Welfare Benefit | No | Were dividends or retroactive rate refunds paid in cash? | No | Were dividends or retroactive rate refunds paid as a credit? | No | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $8,104 | Insurance broker organization code? | 3 | Insurance broker name | SAGEPOINT FINANCIAL INC |
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HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 ) |
Policy contract number | GA-824662 |
Policy instance | 1 |
Insurance contract or identification number | GA-824662 | Number of Individuals Covered | 15 | Insurance policy start date | 2012-01-01 | Insurance policy end date | 2012-12-31 | Total amount of commissions paid to insurance broker | USD $7,611 | Total amount of fees paid to insurance company | USD $0 | Are there contracts with allocated funds for individual policies? | No | Are there contracts with allocated funds for group deferred annuity? | No | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Are there contracts with unallocated funds for contracts of type immediate participation guarantee? | No | Are there contracts with unallocated funds for contracts of type guaranteed investment? | No | Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | Yes | Health Insurance Welfare Benefit | No | Dental Insurance Welfare Benefit | No | Vision Insurance Welfare Benefit | No | Life Insurance Welfare Benefit | No | Temporary Disability Insurance Welfare Benefit | No | Long Term Disability Insurance Welfare Benefit | No | Unemployment Insurance Welfare Benefit | No | Were dividends or retroactive rate refunds paid in cash? | No | Were dividends or retroactive rate refunds paid as a credit? | No | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $7,611 | Insurance broker organization code? | 3 | Insurance broker name | SAGEPOINT FINANCIAL INC |
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HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 ) |
Policy contract number | GA-824662 |
Policy instance | 1 |
Insurance contract or identification number | GA-824662 | Number of Individuals Covered | 18 | Insurance policy start date | 2011-01-01 | Insurance policy end date | 2011-12-31 | Total amount of commissions paid to insurance broker | USD $8,598 | Total amount of fees paid to insurance company | USD $0 | Are there contracts with allocated funds for individual policies? | No | Are there contracts with allocated funds for group deferred annuity? | No | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Are there contracts with unallocated funds for contracts of type immediate participation guarantee? | No | Are there contracts with unallocated funds for contracts of type guaranteed investment? | No | Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | Yes | Health Insurance Welfare Benefit | No | Dental Insurance Welfare Benefit | No | Vision Insurance Welfare Benefit | No | Life Insurance Welfare Benefit | No | Temporary Disability Insurance Welfare Benefit | No | Long Term Disability Insurance Welfare Benefit | No | Unemployment Insurance Welfare Benefit | No | Were dividends or retroactive rate refunds paid in cash? | No | Were dividends or retroactive rate refunds paid as a credit? | No | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No |
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HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 ) |
Policy contract number | GA-824662 |
Policy instance | 1 |
Insurance contract or identification number | GA-824662 | Number of Individuals Covered | 19 | Insurance policy start date | 2010-01-01 | Insurance policy end date | 2010-12-31 | Total amount of commissions paid to insurance broker | USD $7,936 | Total amount of fees paid to insurance company | USD $0 | Are there contracts with allocated funds for individual policies? | No | Are there contracts with allocated funds for group deferred annuity? | No | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 0 | Are there contracts with unallocated funds for contracts of type immediate participation guarantee? | No | Are there contracts with unallocated funds for contracts of type guaranteed investment? | No | Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | Yes | Health Insurance Welfare Benefit | No | Dental Insurance Welfare Benefit | No | Vision Insurance Welfare Benefit | No | Life Insurance Welfare Benefit | No | Temporary Disability Insurance Welfare Benefit | No | Long Term Disability Insurance Welfare Benefit | No | Unemployment Insurance Welfare Benefit | No | Were dividends or retroactive rate refunds paid in cash? | No | Were dividends or retroactive rate refunds paid as a credit? | No | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No |
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