RYDMAN & FOX, INC. has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN
401k plan membership statisitcs for RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN
| Measure | Date | Value |
|---|
| 2016: RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2016 401k membership |
|---|
| Total participants, beginning-of-year | 2016-10-01 | 25 |
| Total number of active participants reported on line 7a of the Form 5500 | 2016-10-01 | 0 |
| Number of retired or separated participants receiving benefits | 2016-10-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2016-10-01 | 0 |
| Total of all active and inactive participants | 2016-10-01 | 0 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2016-10-01 | 0 |
| Total participants | 2016-10-01 | 0 |
| Number of participants with account balances | 2016-10-01 | 0 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2016-10-01 | 0 |
| 2015: RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2015 401k membership |
|---|
| Total participants, beginning-of-year | 2015-10-01 | 27 |
| Total number of active participants reported on line 7a of the Form 5500 | 2015-10-01 | 21 |
| Number of retired or separated participants receiving benefits | 2015-10-01 | 3 |
| Number of other retired or separated participants entitled to future benefits | 2015-10-01 | 1 |
| Total of all active and inactive participants | 2015-10-01 | 25 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2015-10-01 | 0 |
| Total participants | 2015-10-01 | 25 |
| Number of participants with account balances | 2015-10-01 | 24 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2015-10-01 | 0 |
| 2014: RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2014 401k membership |
|---|
| Total participants, beginning-of-year | 2014-10-01 | 25 |
| Total number of active participants reported on line 7a of the Form 5500 | 2014-10-01 | 20 |
| Number of retired or separated participants receiving benefits | 2014-10-01 | 5 |
| Number of other retired or separated participants entitled to future benefits | 2014-10-01 | 1 |
| Total of all active and inactive participants | 2014-10-01 | 26 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2014-10-01 | 0 |
| Total participants | 2014-10-01 | 26 |
| Number of participants with account balances | 2014-10-01 | 24 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2014-10-01 | 0 |
| 2013: RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2013 401k membership |
|---|
| Total participants, beginning-of-year | 2013-10-01 | 23 |
| Total number of active participants reported on line 7a of the Form 5500 | 2013-10-01 | 19 |
| Number of retired or separated participants receiving benefits | 2013-10-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2013-10-01 | 3 |
| Total of all active and inactive participants | 2013-10-01 | 22 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2013-10-01 | 0 |
| Total participants | 2013-10-01 | 22 |
| Number of participants with account balances | 2013-10-01 | 19 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2013-10-01 | 0 |
| 2012: RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2012 401k membership |
|---|
| Total participants, beginning-of-year | 2012-10-01 | 21 |
| Total number of active participants reported on line 7a of the Form 5500 | 2012-10-01 | 19 |
| Number of retired or separated participants receiving benefits | 2012-10-01 | 2 |
| Number of other retired or separated participants entitled to future benefits | 2012-10-01 | 2 |
| Total of all active and inactive participants | 2012-10-01 | 23 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2012-10-01 | 0 |
| Total participants | 2012-10-01 | 23 |
| Number of participants with account balances | 2012-10-01 | 21 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2012-10-01 | 1 |
| 2011: RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2011 401k membership |
|---|
| Total participants, beginning-of-year | 2011-10-01 | 21 |
| Total number of active participants reported on line 7a of the Form 5500 | 2011-10-01 | 19 |
| Number of retired or separated participants receiving benefits | 2011-10-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2011-10-01 | 2 |
| Total of all active and inactive participants | 2011-10-01 | 21 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2011-10-01 | 0 |
| Total participants | 2011-10-01 | 21 |
| Number of participants with account balances | 2011-10-01 | 19 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2011-10-01 | 0 |
| 2009: RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2009 401k membership |
|---|
| Total participants, beginning-of-year | 2009-10-01 | 24 |
| Total number of active participants reported on line 7a of the Form 5500 | 2009-10-01 | 21 |
| Number of retired or separated participants receiving benefits | 2009-10-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2009-10-01 | 0 |
| Total of all active and inactive participants | 2009-10-01 | 21 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2009-10-01 | 0 |
| Total participants | 2009-10-01 | 21 |
| Number of participants with account balances | 2009-10-01 | 18 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2009-10-01 | 0 |
| Measure | Date | Value |
|---|
| 2017 : RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2017 401k financial data |
|---|
| Total plan liabilities at end of year | 2017-09-01 | $0 |
| Total plan liabilities at beginning of year | 2017-09-01 | $2,318,528 |
| Total income from all sources | 2017-09-01 | $7,241,541 |
| Expenses. Total of all expenses incurred | 2017-09-01 | $10,728,226 |
| Benefits paid (including direct rollovers) | 2017-09-01 | $10,725,888 |
| Total plan assets at end of year | 2017-09-01 | $0 |
| Total plan assets at beginning of year | 2017-09-01 | $5,805,213 |
| Value of fidelity bond covering the plan | 2017-09-01 | $1,000,000 |
| Expenses. Other expenses not covered elsewhere | 2017-09-01 | $2,338 |
| Other income received | 2017-09-01 | $7,241,541 |
| Net income (gross income less expenses) | 2017-09-01 | $-3,486,685 |
| Net plan assets at end of year (total assets less liabilities) | 2017-09-01 | $0 |
| Net plan assets at beginning of year (total assets less liabilities) | 2017-09-01 | $3,486,685 |
| Total contributions received or receivable from employer(s) | 2017-09-01 | $0 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2017-09-01 | $0 |
| 2016 : RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2016 401k financial data |
|---|
| Total plan liabilities at end of year | 2016-09-30 | $2,318,528 |
| Total plan liabilities at beginning of year | 2016-09-30 | $2,992,178 |
| Total income from all sources | 2016-09-30 | $359,842 |
| Expenses. Total of all expenses incurred | 2016-09-30 | $446,677 |
| Benefits paid (including direct rollovers) | 2016-09-30 | $315,691 |
| Total plan assets at end of year | 2016-09-30 | $5,805,213 |
| Total plan assets at beginning of year | 2016-09-30 | $6,565,698 |
| Value of fidelity bond covering the plan | 2016-09-30 | $1,000,000 |
| Total contributions received or receivable from participants | 2016-09-30 | $37,291 |
| Expenses. Other expenses not covered elsewhere | 2016-09-30 | $130,986 |
| Contributions received from other sources (not participants or employers) | 2016-09-30 | $34,384 |
| Other income received | 2016-09-30 | $259,404 |
| Net income (gross income less expenses) | 2016-09-30 | $-86,835 |
| Net plan assets at end of year (total assets less liabilities) | 2016-09-30 | $3,486,685 |
| Net plan assets at beginning of year (total assets less liabilities) | 2016-09-30 | $3,573,520 |
| Assets. Value of employer securities | 2016-09-30 | $5,157,600 |
| Total contributions received or receivable from employer(s) | 2016-09-30 | $28,763 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2016-09-30 | $0 |
| 2015 : RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2015 401k financial data |
|---|
| Total plan liabilities at end of year | 2015-09-30 | $2,992,178 |
| Total plan liabilities at beginning of year | 2015-09-30 | $3,147,282 |
| Total income from all sources | 2015-09-30 | $714,330 |
| Expenses. Total of all expenses incurred | 2015-09-30 | $292,628 |
| Benefits paid (including direct rollovers) | 2015-09-30 | $154,442 |
| Total plan assets at end of year | 2015-09-30 | $6,565,698 |
| Total plan assets at beginning of year | 2015-09-30 | $6,299,100 |
| Value of fidelity bond covering the plan | 2015-09-30 | $1,000,000 |
| Total contributions received or receivable from participants | 2015-09-30 | $38,782 |
| Expenses. Other expenses not covered elsewhere | 2015-09-30 | $138,136 |
| Other income received | 2015-09-30 | $398,734 |
| Net income (gross income less expenses) | 2015-09-30 | $421,702 |
| Net plan assets at end of year (total assets less liabilities) | 2015-09-30 | $3,573,520 |
| Net plan assets at beginning of year (total assets less liabilities) | 2015-09-30 | $3,151,818 |
| Assets. Value of employer securities | 2015-09-30 | $5,157,600 |
| Total contributions received or receivable from employer(s) | 2015-09-30 | $276,814 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2015-09-30 | $50 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2015-09-30 | $0 |
| 2014 : RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2014 401k financial data |
|---|
| Total plan liabilities at end of year | 2014-09-30 | $3,147,282 |
| Total plan liabilities at beginning of year | 2014-09-30 | $3,001,985 |
| Total income from all sources | 2014-09-30 | $893,251 |
| Expenses. Total of all expenses incurred | 2014-09-30 | $362,691 |
| Benefits paid (including direct rollovers) | 2014-09-30 | $217,270 |
| Total plan assets at end of year | 2014-09-30 | $6,299,100 |
| Total plan assets at beginning of year | 2014-09-30 | $5,623,243 |
| Value of fidelity bond covering the plan | 2014-09-30 | $1,000,000 |
| Total contributions received or receivable from participants | 2014-09-30 | $37,595 |
| Expenses. Other expenses not covered elsewhere | 2014-09-30 | $145,296 |
| Other income received | 2014-09-30 | $610,022 |
| Net income (gross income less expenses) | 2014-09-30 | $530,560 |
| Net plan assets at end of year (total assets less liabilities) | 2014-09-30 | $3,151,818 |
| Net plan assets at beginning of year (total assets less liabilities) | 2014-09-30 | $2,621,258 |
| Assets. Value of employer securities | 2014-09-30 | $4,943,400 |
| Total contributions received or receivable from employer(s) | 2014-09-30 | $245,634 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2014-09-30 | $125 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2014-09-30 | $0 |
| 2013 : RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2013 401k financial data |
|---|
| Total plan liabilities at end of year | 2013-09-30 | $3,001,985 |
| Total plan liabilities at beginning of year | 2013-09-30 | $3,143,098 |
| Total income from all sources | 2013-09-30 | $1,029,754 |
| Expenses. Total of all expenses incurred | 2013-09-30 | $283,508 |
| Benefits paid (including direct rollovers) | 2013-09-30 | $131,232 |
| Total plan assets at end of year | 2013-09-30 | $5,623,243 |
| Total plan assets at beginning of year | 2013-09-30 | $5,018,110 |
| Value of fidelity bond covering the plan | 2013-09-30 | $1,000,000 |
| Total contributions received or receivable from participants | 2013-09-30 | $38,870 |
| Expenses. Other expenses not covered elsewhere | 2013-09-30 | $152,276 |
| Other income received | 2013-09-30 | $697,645 |
| Net income (gross income less expenses) | 2013-09-30 | $746,246 |
| Net plan assets at end of year (total assets less liabilities) | 2013-09-30 | $2,621,258 |
| Net plan assets at beginning of year (total assets less liabilities) | 2013-09-30 | $1,875,012 |
| Assets. Value of employer securities | 2013-09-30 | $4,586,400 |
| Total contributions received or receivable from employer(s) | 2013-09-30 | $293,239 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2013-09-30 | $0 |
| 2012 : RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2012 401k financial data |
|---|
| Total plan liabilities at end of year | 2012-09-30 | $3,143,098 |
| Total plan liabilities at beginning of year | 2012-09-30 | $3,300,955 |
| Total income from all sources | 2012-09-30 | $668,377 |
| Expenses. Total of all expenses incurred | 2012-09-30 | $232,895 |
| Benefits paid (including direct rollovers) | 2012-09-30 | $73,665 |
| Total plan assets at end of year | 2012-09-30 | $5,018,110 |
| Total plan assets at beginning of year | 2012-09-30 | $4,740,485 |
| Value of fidelity bond covering the plan | 2012-09-30 | $1,000,000 |
| Total contributions received or receivable from participants | 2012-09-30 | $32,611 |
| Expenses. Other expenses not covered elsewhere | 2012-09-30 | $159,230 |
| Other income received | 2012-09-30 | $383,596 |
| Net income (gross income less expenses) | 2012-09-30 | $435,482 |
| Net plan assets at end of year (total assets less liabilities) | 2012-09-30 | $1,875,012 |
| Net plan assets at beginning of year (total assets less liabilities) | 2012-09-30 | $1,439,530 |
| Assets. Value of employer securities | 2012-09-30 | $4,107,600 |
| Total contributions received or receivable from employer(s) | 2012-09-30 | $252,170 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2012-09-30 | $0 |
| 2011 : RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2011 401k financial data |
|---|
| Total plan liabilities at end of year | 2011-09-30 | $3,300,955 |
| Total plan liabilities at beginning of year | 2011-09-30 | $3,452,864 |
| Total income from all sources | 2011-09-30 | $684,612 |
| Expenses. Total of all expenses incurred | 2011-09-30 | $256,478 |
| Benefits paid (including direct rollovers) | 2011-09-30 | $90,325 |
| Total plan assets at end of year | 2011-09-30 | $4,740,485 |
| Total plan assets at beginning of year | 2011-09-30 | $4,464,260 |
| Value of fidelity bond covering the plan | 2011-09-30 | $1,000,000 |
| Total contributions received or receivable from participants | 2011-09-30 | $36,401 |
| Expenses. Other expenses not covered elsewhere | 2011-09-30 | $166,153 |
| Other income received | 2011-09-30 | $330,374 |
| Net income (gross income less expenses) | 2011-09-30 | $428,134 |
| Net plan assets at end of year (total assets less liabilities) | 2011-09-30 | $1,439,530 |
| Net plan assets at beginning of year (total assets less liabilities) | 2011-09-30 | $1,011,396 |
| Assets. Value of employer securities | 2011-09-30 | $3,809,400 |
| Total contributions received or receivable from employer(s) | 2011-09-30 | $317,837 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2011-09-30 | $0 |
| 2010 : RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2010 401k financial data |
|---|
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2010-09-30 | $0 |
| 2016: RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2016 form 5500 responses |
|---|
| 2016-10-01 | Type of plan entity | Single employer plan |
| 2016-10-01 | Submission has been amended | No |
| 2016-10-01 | This submission is the final filing | Yes |
| 2016-10-01 | This return/report is a short plan year return/report (less than 12 months) | Yes |
| 2016-10-01 | Plan is a collectively bargained plan | No |
| 2016-10-01 | Plan funding arrangement – Insurance | Yes |
| 2016-10-01 | Plan funding arrangement – Trust | Yes |
| 2016-10-01 | Plan benefit arrangement - Trust | Yes |
| 2015: RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2015 form 5500 responses |
|---|
| 2015-10-01 | Type of plan entity | Single employer plan |
| 2015-10-01 | Submission has been amended | No |
| 2015-10-01 | This submission is the final filing | No |
| 2015-10-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2015-10-01 | Plan is a collectively bargained plan | No |
| 2015-10-01 | Plan funding arrangement – Insurance | Yes |
| 2015-10-01 | Plan funding arrangement – Trust | Yes |
| 2015-10-01 | Plan benefit arrangement - Trust | Yes |
| 2014: RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2014 form 5500 responses |
|---|
| 2014-10-01 | Type of plan entity | Single employer plan |
| 2014-10-01 | Submission has been amended | No |
| 2014-10-01 | This submission is the final filing | No |
| 2014-10-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2014-10-01 | Plan is a collectively bargained plan | No |
| 2014-10-01 | Plan funding arrangement – Insurance | Yes |
| 2014-10-01 | Plan funding arrangement – Trust | Yes |
| 2014-10-01 | Plan benefit arrangement - Trust | Yes |
| 2013: RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2013 form 5500 responses |
|---|
| 2013-10-01 | Type of plan entity | Single employer plan |
| 2013-10-01 | Submission has been amended | No |
| 2013-10-01 | This submission is the final filing | No |
| 2013-10-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2013-10-01 | Plan is a collectively bargained plan | No |
| 2013-10-01 | Plan funding arrangement – Insurance | Yes |
| 2013-10-01 | Plan funding arrangement – Trust | Yes |
| 2013-10-01 | Plan benefit arrangement - Trust | Yes |
| 2012: RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2012 form 5500 responses |
|---|
| 2012-10-01 | Type of plan entity | Single employer plan |
| 2012-10-01 | Submission has been amended | No |
| 2012-10-01 | This submission is the final filing | No |
| 2012-10-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2012-10-01 | Plan is a collectively bargained plan | No |
| 2012-10-01 | Plan funding arrangement – Insurance | Yes |
| 2012-10-01 | Plan funding arrangement – Trust | Yes |
| 2012-10-01 | Plan benefit arrangement - Trust | Yes |
| 2011: RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2011 form 5500 responses |
|---|
| 2011-10-01 | Type of plan entity | Single employer plan |
| 2011-10-01 | Submission has been amended | No |
| 2011-10-01 | This submission is the final filing | No |
| 2011-10-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2011-10-01 | Plan is a collectively bargained plan | No |
| 2011-10-01 | Plan funding arrangement – Insurance | Yes |
| 2011-10-01 | Plan funding arrangement – Trust | Yes |
| 2011-10-01 | Plan benefit arrangement - Trust | Yes |
| 2009: RYDMAN & FOX, INC. EMPLOYEE STOCK OWNERSHIP AND 401(K) PLAN 2009 form 5500 responses |
|---|
| 2009-10-01 | Type of plan entity | Single employer plan |
| 2009-10-01 | Submission has been amended | No |
| 2009-10-01 | This submission is the final filing | No |
| 2009-10-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2009-10-01 | Plan is a collectively bargained plan | No |
| 2009-10-01 | Plan funding arrangement – Insurance | Yes |
| 2009-10-01 | Plan funding arrangement – Trust | Yes |
| 2009-10-01 | Plan benefit arrangement - Trust | Yes |
| HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 ) |
| Policy contract number | GA-822646 |
| Policy instance | 1 |
| Insurance contract or identification number | GA-822646 | | Number of Individuals Covered | 19 | | Insurance policy start date | 2015-10-01 | | Insurance policy end date | 2016-09-30 | | Total amount of commissions paid to insurance broker | USD $1,210 | | Total amount of fees paid to insurance company | USD $226 | | 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 $1,210 | | Insurance broker organization code? | 3 | | Amount paid for insurance broker fees | 226 | | Additional information about fees paid to insurance broker | ADMINISTRATIVE ALLOWANCE | | Insurance broker name | SWERDLIN & COMPANY |
|
| HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 ) |
| Policy contract number | GA-822646 |
| Policy instance | 1 |
| Insurance contract or identification number | GA-822646 | | Number of Individuals Covered | 17 | | Insurance policy start date | 2013-10-01 | | Insurance policy end date | 2014-09-30 | | Total amount of commissions paid to insurance broker | USD $1,216 | | Total amount of fees paid to insurance company | USD $50 | | 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 $1,216 | | Amount paid for insurance broker fees | 50 | | Additional information about fees paid to insurance broker | SALES/MARKETING | | Insurance broker organization code? | 3 | | Insurance broker name | LPL FINANCIAL CORPORATION |
|
| HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 ) |
| Policy contract number | GA-822646 |
| Policy instance | 1 |
| Insurance contract or identification number | GA-822646 | | Number of Individuals Covered | 17 | | Insurance policy start date | 2013-10-01 | | Insurance policy end date | 2014-09-30 | | Total amount of commissions paid to insurance broker | USD $1,250 | | Total amount of fees paid to insurance company | USD $125 | | 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 $1,250 | | Amount paid for insurance broker fees | 125 | | Additional information about fees paid to insurance broker | SALES/MARKETING | | Insurance broker organization code? | 3 | | Insurance broker name | LPL FINANCIAL CORPORATION |
|
| HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 ) |
| Policy contract number | GA-822646 |
| Policy instance | 1 |
| Insurance contract or identification number | GA-822646 | | Number of Individuals Covered | 19 | | Insurance policy start date | 2012-10-01 | | Insurance policy end date | 2013-09-30 | | Total amount of commissions paid to insurance broker | USD $1,094 | | Total amount of fees paid to insurance company | USD $70 | | 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 $1,094 | | Amount paid for insurance broker fees | 70 | | Additional information about fees paid to insurance broker | SALES/MARKETING | | Insurance broker organization code? | 3 | | Insurance broker name | LPL FINANCIAL CORPORATION |
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| HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 ) |
| Policy contract number | GA-822646 |
| Policy instance | 1 |
| Insurance contract or identification number | GA-822646 | | Number of Individuals Covered | 19 | | Insurance policy start date | 2011-10-01 | | Insurance policy end date | 2012-09-30 | | Total amount of commissions paid to insurance broker | USD $993 | | Total amount of fees paid to insurance company | USD $58 | | 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-822646 |
| Policy instance | 1 |
| Insurance contract or identification number | GA-822646 | | Number of Individuals Covered | 20 | | Insurance policy start date | 2010-10-01 | | Insurance policy end date | 2011-09-30 | | Total amount of commissions paid to insurance broker | USD $471 | | 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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