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GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 401k Plan overview

Plan NameGROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC.
Plan identification number 502

GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. Benefits

401k Plan TypeWelfare Benefit
Plan Features/Benefits
  • Life insurance
  • Long-term disability cover

401k Sponsoring company profile

KLEIN FINANCIAL, INC has sponsored the creation of one or more 401k plans.

Company Name:KLEIN FINANCIAL, INC
Employer identification number (EIN):411251036
NAIC Classification:551111
NAIC Description:Offices of Bank Holding Companies

Form 5500 Filing Information

Submission information for form 5500 for 401k plan GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC.

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
5022017-01-01DENISE SCHULTZ DENISE SCHULTZ2018-07-02
5022016-01-01DENISE SCHULTZ DENISE SCHULTZ2017-07-17
5022015-01-01DENISE SCHULTZ DENISE SCHULTZ2016-08-22
5022014-01-01DENISE SCHULTZ DENISE SCHULTZ2015-10-14
5022013-01-01DENISE SCHULTZ DENISE SCHULTZ2014-08-07
5022012-01-01DENISE SCHULTZ DENISE SCHULTZ2013-08-30
5022011-01-01DENISE SCHULTZ
5022010-01-01DENISE SCHULTZ
5022009-01-01 DENISE SCHULTZ2010-10-07
5022009-01-01DENISE SCHULTZ

Plan Statistics for GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC.

401k plan membership statisitcs for GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC.

Measure Date Value
2017: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2017 401k membership
Total participants, beginning-of-year2017-01-01359
Total number of active participants reported on line 7a of the Form 55002017-01-01347
Number of retired or separated participants receiving benefits2017-01-013
Total of all active and inactive participants2017-01-01350
Total participants2017-01-01350
2016: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2016 401k membership
Total participants, beginning-of-year2016-01-01352
Total number of active participants reported on line 7a of the Form 55002016-01-01355
Number of retired or separated participants receiving benefits2016-01-014
Total of all active and inactive participants2016-01-01359
Total participants2016-01-01359
2015: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2015 401k membership
Total participants, beginning-of-year2015-01-01357
Total number of active participants reported on line 7a of the Form 55002015-01-01350
Number of retired or separated participants receiving benefits2015-01-012
Total of all active and inactive participants2015-01-01352
Total participants2015-01-01352
2014: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2014 401k membership
Total participants, beginning-of-year2014-01-01345
Total number of active participants reported on line 7a of the Form 55002014-01-01348
Number of retired or separated participants receiving benefits2014-01-019
Total of all active and inactive participants2014-01-01357
Total participants2014-01-01357
2013: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2013 401k membership
Total participants, beginning-of-year2013-01-01318
Total number of active participants reported on line 7a of the Form 55002013-01-01330
Number of retired or separated participants receiving benefits2013-01-0115
Total of all active and inactive participants2013-01-01345
Total participants2013-01-01345
2012: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2012 401k membership
Total participants, beginning-of-year2012-01-01340
Total number of active participants reported on line 7a of the Form 55002012-01-01324
Number of retired or separated participants receiving benefits2012-01-0111
Total of all active and inactive participants2012-01-01335
Total participants2012-01-01335
2011: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2011 401k membership
Total participants, beginning-of-year2011-01-01384
Total number of active participants reported on line 7a of the Form 55002011-01-01329
Number of retired or separated participants receiving benefits2011-01-0111
Total of all active and inactive participants2011-01-01340
Total participants2011-01-01340
2010: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2010 401k membership
Total participants, beginning-of-year2010-01-01388
Total number of active participants reported on line 7a of the Form 55002010-01-01382
Number of retired or separated participants receiving benefits2010-01-012
Total of all active and inactive participants2010-01-01384
Total participants2010-01-01384
2009: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2009 401k membership
Total participants, beginning-of-year2009-01-01390
Total number of active participants reported on line 7a of the Form 55002009-01-01391
Number of retired or separated participants receiving benefits2009-01-014
Total of all active and inactive participants2009-01-01395
Total participants2009-01-01395

Form 5500 Responses for GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC.

2017: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 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 filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – General assets of the sponsorYes
2017-01-01Plan benefit arrangement – InsuranceYes
2016: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 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 – General assets of the sponsorYes
2016-01-01Plan benefit arrangement – InsuranceYes
2015: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 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 – General assets of the sponsorYes
2015-01-01Plan benefit arrangement – InsuranceYes
2014: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
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 benefit arrangement – InsuranceYes
2013: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2013 form 5500 responses
2013-01-01Type of plan entityMulitple employer plan
2013-01-01Submission has been amendedNo
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 benefit arrangement – InsuranceYes
2012: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2012 form 5500 responses
2012-01-01Type of plan entityMulitple employer plan
2012-01-01Submission has been amendedNo
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 benefit arrangement – InsuranceYes
2011: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2011 form 5500 responses
2011-01-01Type of plan entityMulitple 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 benefit arrangement – InsuranceYes
2010: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2010 form 5500 responses
2010-01-01Type of plan entityMulitple employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan benefit arrangement – InsuranceYes
2009: GROUP LIFE INSURANCE PLAN FOR KLEIN FINANCIAL, INC. 2009 form 5500 responses
2009-01-01Type of plan entityMulitple 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 – General assets of the sponsorYes
2009-01-01Plan benefit arrangement – InsuranceYes

Insurance Providers Used on plan

HARTFORD LIFE AND ACCIDENT INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70815 )
Policy contract number855573G
Policy instance 1
Insurance contract or identification number855573G
Number of Individuals Covered347
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $16,399
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $16,400
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameCHRISTENSEN GROUP, INC.
HARTFORD LIFE AND ACCIDENT INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70815 )
Policy contract number855573G
Policy instance 1
Insurance contract or identification number855573G
Number of Individuals Covered352
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $22,233
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $22,233
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerCOMMISSIONS
Insurance broker organization code?3
Insurance broker nameCHRISTENSEN GROUP, INC.
HARTFORD LIFE AND ACCIDENT INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70815 )
Policy contract number855573G
Policy instance 1
Insurance contract or identification number855573G
Number of Individuals Covered348
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $14,727
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $3,696
Amount paid for insurance broker fees0
Insurance broker nameCHRISTENSEN GROUP, INC.
HARTFORD LIFE AND ACCIDENT INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70815 )
Policy contract number855573G
Policy instance 1
Insurance contract or identification number855573G
Number of Individuals Covered330
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $14,415
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $14,415
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker namePINE BENEFIT ADVISORS LLC
HARTFORD LIFE AND ACCIDENT INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70815 )
Policy contract number855573G
Policy instance 1
Insurance contract or identification number855573G
Number of Individuals Covered335
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $14,490
Total amount of fees paid to insurance companyUSD $0
Life Insurance Welfare BenefitYes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $12,110
Insurance broker namePERFORMANCE & ACTION
HARTFORD LIFE AND ACCIDENT INSURANCE CO. (National Association of Insurance Commissioners NAIC id number: 70815 )
Policy contract number855573G
Policy instance 1
Insurance contract or identification number855573G
Number of Individuals Covered339
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $22,040
Life Insurance Welfare BenefitYes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HARTFORD LIFE AND ACCIDENT INSURANCE CO. (National Association of Insurance Commissioners NAIC id number: 70815 )
Policy contract number855573G
Policy instance 1
Insurance contract or identification number855573G
Number of Individuals Covered384
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $18,546
Life Insurance Welfare BenefitYes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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