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EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 401k Plan overview

Plan NameEMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN
Plan identification number 001

EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • 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.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • 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.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

EMPIRE PETROLEUM PARTNERS, LLC has sponsored the creation of one or more 401k plans.

Company Name:EMPIRE PETROLEUM PARTNERS, LLC
Employer identification number (EIN):452540159
NAIC Classification:424700

Additional information about EMPIRE PETROLEUM PARTNERS, LLC

Jurisdiction of Incorporation: Texas Secretary of State
Incorporation Date: 2011-10-17
Company Identification Number: 0801494466
Legal Registered Office Address: 2770 MAIN ST STE 228

FRISCO
United States of America (USA)
75033

More information about EMPIRE PETROLEUM PARTNERS, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01ATANAS ATANASOV
0012016-01-01ATANAS ATANASOV
0012015-01-01ATANAS ATANASOV
0012014-01-01RICHARD GOLMAN
0012013-01-01RICHARD GOLMAN
0012012-01-01RICHARD GOLMAN

Plan Statistics for EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN

401k plan membership statisitcs for EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN

Measure Date Value
2020: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01579
Total number of active participants reported on line 7a of the Form 55002020-01-010
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-010
Total of all active and inactive participants2020-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-010
Number of participants with account balances2020-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01837
Total number of active participants reported on line 7a of the Form 55002019-01-01450
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-01102
Total of all active and inactive participants2019-01-01552
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01552
Number of participants with account balances2019-01-01306
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-01137
2018: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01845
Total number of active participants reported on line 7a of the Form 55002018-01-01739
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0170
Total of all active and inactive participants2018-01-01809
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01809
Number of participants with account balances2018-01-01359
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0170
2017: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01286
Total number of active participants reported on line 7a of the Form 55002017-01-01697
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0151
Total of all active and inactive participants2017-01-01748
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01748
Number of participants with account balances2017-01-01203
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0147
2016: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01326
Total number of active participants reported on line 7a of the Form 55002016-01-01233
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0129
Total of all active and inactive participants2016-01-01262
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01262
Number of participants with account balances2016-01-01123
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-0151
2015: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01263
Total number of active participants reported on line 7a of the Form 55002015-01-01256
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0129
Total of all active and inactive participants2015-01-01285
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01285
Number of participants with account balances2015-01-01133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0189
2014: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01240
Total number of active participants reported on line 7a of the Form 55002014-01-01216
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0128
Total of all active and inactive participants2014-01-01244
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01244
Number of participants with account balances2014-01-01110
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0111
2013: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01250
Total number of active participants reported on line 7a of the Form 55002013-01-01209
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0124
Total of all active and inactive participants2013-01-01233
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01233
Number of participants with account balances2013-01-01100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0118
2012: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01243
Total number of active participants reported on line 7a of the Form 55002012-01-01220
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0115
Total of all active and inactive participants2012-01-01235
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01235
Number of participants with account balances2012-01-0180
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0116

Financial Data on EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN

Measure Date Value
2020 : EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2020 401k financial data
Total income from all sources (including contributions)2020-12-31$1,335,268
Total of all expenses incurred2020-12-31$6,762,643
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$6,694,067
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$742,247
Value of total assets at end of year2020-12-31$0
Value of total assets at beginning of year2020-12-31$5,427,375
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$68,576
Total interest from all sources2020-12-31$7,013
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2020-12-31$0
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$0
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$1,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$506,828
Participant contributions at end of year2020-12-31$0
Participant contributions at beginning of year2020-12-31$139,736
Participant contributions at end of year2020-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$18,448
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$-5,427,375
Value of net assets at end of year (total assets less liabilities)2020-12-31$0
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$5,427,375
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Interest on participant loans2020-12-31$7,013
Value of interest in common/collective trusts at beginning of year2020-12-31$5,184,960
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2020-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$102,679
Expenses. Payments to insurance carriers foe the provision of benefits2020-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$586,008
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$216,971
Employer contributions (assets) at end of year2020-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$6,694,067
Contract administrator fees2020-12-31$68,576
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32020-12-31No
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31Yes
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31BDO USA LLP
Accountancy firm EIN2020-12-31135381590
2019 : EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2019 401k financial data
Total income from all sources (including contributions)2019-12-31$2,328,947
Total of all expenses incurred2019-12-31$695,246
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$627,741
Expenses. Certain deemed distributions of participant loans2019-12-31$5,851
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$1,514,112
Value of total assets at end of year2019-12-31$5,427,375
Value of total assets at beginning of year2019-12-31$3,793,674
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$61,654
Total interest from all sources2019-12-31$5,323
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$1,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$795,523
Participant contributions at end of year2019-12-31$139,736
Participant contributions at beginning of year2019-12-31$54,360
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$452,756
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$1,633,701
Value of net assets at end of year (total assets less liabilities)2019-12-31$5,427,375
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$3,793,674
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in pooled separate accounts at end of year2019-12-31$5,184,960
Value of interest in pooled separate accounts at beginning of year2019-12-31$3,655,697
Interest on participant loans2019-12-31$5,323
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$102,679
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$83,617
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$809,512
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$265,833
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$627,741
Contract administrator fees2019-12-31$61,654
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31BDO US LLP
Accountancy firm EIN2019-12-31135381590
2018 : EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2018 401k financial data
Total income from all sources (including contributions)2018-12-31$1,328,013
Total of all expenses incurred2018-12-31$256,846
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$210,972
Expenses. Certain deemed distributions of participant loans2018-12-31$10,278
Value of total corrective distributions2018-12-31$798
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$1,555,616
Value of total assets at end of year2018-12-31$3,793,674
Value of total assets at beginning of year2018-12-31$2,722,507
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$34,798
Total interest from all sources2018-12-31$2,771
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$1,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$705,648
Participant contributions at end of year2018-12-31$54,360
Participant contributions at beginning of year2018-12-31$27,983
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$550,190
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$1,071,167
Value of net assets at end of year (total assets less liabilities)2018-12-31$3,793,674
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$2,722,507
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in pooled separate accounts at end of year2018-12-31$3,655,697
Value of interest in pooled separate accounts at beginning of year2018-12-31$2,636,463
Interest on participant loans2018-12-31$2,771
Value of interest in common/collective trusts at end of year2018-12-31$0
Value of interest in common/collective trusts at beginning of year2018-12-31$58,061
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$83,617
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$0
Net investment gain/loss from pooled separate accounts2018-12-31$-230,374
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$299,778
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$210,972
Contract administrator fees2018-12-31$34,798
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31BDO US LLP
Accountancy firm EIN2018-12-31135381590
2017 : EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2017 401k financial data
Total income from all sources (including contributions)2017-12-31$1,722,609
Total of all expenses incurred2017-12-31$754,089
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$739,169
Expenses. Certain deemed distributions of participant loans2017-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$1,436,097
Value of total assets at end of year2017-12-31$2,722,507
Value of total assets at beginning of year2017-12-31$1,753,987
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$14,920
Total interest from all sources2017-12-31$1,934
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$0
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$1,000,000
If this is an individual account plan, was there a blackout period2017-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$404,443
Participant contributions at end of year2017-12-31$27,983
Participant contributions at beginning of year2017-12-31$39,984
Participant contributions at end of year2017-12-31$0
Participant contributions at beginning of year2017-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$873,911
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$0
Total non interest bearing cash at end of year2017-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$968,520
Value of net assets at end of year (total assets less liabilities)2017-12-31$2,722,507
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$1,753,987
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in pooled separate accounts at end of year2017-12-31$2,636,463
Value of interest in pooled separate accounts at beginning of year2017-12-31$1,714,003
Interest on participant loans2017-12-31$1,934
Value of interest in common/collective trusts at end of year2017-12-31$58,061
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2017-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$19,685
Net investment gain/loss from pooled separate accounts2017-12-31$138,767
Net investment gain or loss from common/collective trusts2017-12-31$126,126
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$157,743
Employer contributions (assets) at end of year2017-12-31$0
Employer contributions (assets) at beginning of year2017-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$739,169
Contract administrator fees2017-12-31$14,920
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31Yes
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31BDO USA LLP
Accountancy firm EIN2017-12-31135381590
2016 : EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2016 401k financial data
Total income from all sources (including contributions)2016-12-31$813,211
Total of all expenses incurred2016-12-31$402,016
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$387,481
Value of total corrective distributions2016-12-31$702
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$678,910
Value of total assets at end of year2016-12-31$1,753,987
Value of total assets at beginning of year2016-12-31$1,342,792
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$13,833
Total interest from all sources2016-12-31$1,037
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$0
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$1,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$405,082
Participant contributions at end of year2016-12-31$39,984
Participant contributions at beginning of year2016-12-31$8,286
Participant contributions at end of year2016-12-31$0
Participant contributions at beginning of year2016-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$128,368
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$0
Value of other receiveables (less allowance for doubtful accounts) 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$411,195
Value of net assets at end of year (total assets less liabilities)2016-12-31$1,753,987
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$1,342,792
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 pooled separate accounts at end of year2016-12-31$1,714,003
Value of interest in pooled separate accounts at beginning of year2016-12-31$1,334,506
Interest on participant loans2016-12-31$1,037
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2016-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$133,264
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 contributions2016-12-31Yes
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$145,460
Employer contributions (assets) at end of year2016-12-31$0
Employer contributions (assets) at beginning of year2016-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$387,481
Contract administrator fees2016-12-31$13,833
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 name2016-12-31BDO USA, LLP
Accountancy firm EIN2016-12-31135381590
2015 : EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2015 401k financial data
Total income from all sources (including contributions)2015-12-31$658,364
Total of all expenses incurred2015-12-31$565,109
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$551,491
Value of total corrective distributions2015-12-31$554
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$684,932
Value of total assets at end of year2015-12-31$1,342,792
Value of total assets at beginning of year2015-12-31$1,249,537
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$13,064
Total interest from all sources2015-12-31$608
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$0
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$1,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$372,483
Participant contributions at end of year2015-12-31$8,286
Participant contributions at beginning of year2015-12-31$5,474
Participant contributions at end of year2015-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$182,104
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$93,255
Value of net assets at end of year (total assets less liabilities)2015-12-31$1,342,792
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$1,249,537
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 pooled separate accounts at end of year2015-12-31$1,334,506
Value of interest in pooled separate accounts at beginning of year2015-12-31$1,244,063
Interest on participant loans2015-12-31$608
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2015-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-27,176
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 contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$130,345
Employer contributions (assets) at end of year2015-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$551,491
Contract administrator fees2015-12-31$13,064
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 name2015-12-31BDO USA, LLP
Accountancy firm EIN2015-12-31135381590
2014 : EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$365,269
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$83,908
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$76,253
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$282,317
Value of total assets at end of year2014-12-31$1,249,537
Value of total assets at beginning of year2014-12-31$968,176
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$7,655
Total interest from all sources2014-12-31$262
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$0
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$1,000,000
If this is an individual account plan, was there a blackout period2014-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$238,829
Participant contributions at end of year2014-12-31$5,474
Participant contributions at beginning of year2014-12-31$7,416
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$281,361
Value of net assets at end of year (total assets less liabilities)2014-12-31$1,249,537
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$968,176
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 pooled separate accounts at end of year2014-12-31$1,244,063
Value of interest in pooled separate accounts at beginning of year2014-12-31$936,678
Interest on participant loans2014-12-31$262
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$24,082
Net investment gain/loss from pooled separate accounts2014-12-31$82,690
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$43,488
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$76,253
Contract administrator fees2014-12-31$7,655
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32014-12-31Yes
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 name2014-12-31BDO USA, LLP
Accountancy firm EIN2014-12-31135381590
2013 : EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$403,715
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$149,591
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$139,339
Value of total corrective distributions2013-12-31$1,918
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$253,666
Value of total assets at end of year2013-12-31$968,176
Value of total assets at beginning of year2013-12-31$714,052
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$8,334
Total interest from all sources2013-12-31$316
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Administrative expenses professional fees incurred2013-12-31$8,334
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$1,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$215,277
Participant contributions at end of year2013-12-31$7,416
Participant contributions at beginning of year2013-12-31$11,728
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$254,124
Value of net assets at end of year (total assets less liabilities)2013-12-31$968,176
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$714,052
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 pooled separate accounts at end of year2013-12-31$936,678
Value of interest in pooled separate accounts at beginning of year2013-12-31$683,691
Interest on participant loans2013-12-31$316
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$24,082
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$18,633
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$149,733
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$38,389
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$139,339
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 name2013-12-31BDO USA, LLP
Accountancy firm EIN2013-12-31135381590
2012 : EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$750,090
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$36,038
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$34,206
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$703,448
Value of total assets at end of year2012-12-31$714,052
Value of total assets at beginning of year2012-12-31$0
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$1,832
Total interest from all sources2012-12-31$395
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Administrative expenses professional fees incurred2012-12-31$1,832
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$250,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$117,957
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$556,002
Assets. Loans (other than to participants) at end of year2012-12-31$11,728
Assets. Loans (other than to participants) 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$714,052
Value of net assets at end of year (total assets less liabilities)2012-12-31$714,052
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$0
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 pooled separate accounts at end of year2012-12-31$683,691
Value of interest in pooled separate accounts at beginning of year2012-12-31$0
Interest on participant loans2012-12-31$395
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$18,633
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$46,247
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$29,489
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$34,206
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 name2012-12-31HARTMAN LEITO & BOLT, LLP
Accountancy firm EIN2012-12-31752407989

Form 5500 Responses for EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN

2020: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01This submission is the final filingYes
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entityMulitple employer plan
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: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entityMulitple employer plan
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: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entityMulitple 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 funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 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 funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: EMPIRE PETROLEUM PARTNERS, LLC 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entityMulitple employer plan
2012-01-01First time form 5500 has been submittedYes
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

Insurance Providers Used on plan

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract numberGA842137
Policy instance 1
Insurance contract or identification numberGA842137
Number of Individuals Covered0
Total amount of commissions paid to insurance brokerUSD $14,897
Total amount of fees paid to insurance companyUSD $2,574
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $6,449
Insurance broker organization code?3
Amount paid for insurance broker fees2574
Additional information about fees paid to insurance brokerADMINISTRATIVE ALLOWANCE
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract numberGA-842137
Policy instance 1
Insurance contract or identification numberGA-842137
Number of Individuals Covered301
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $10,224
Total amount of fees paid to insurance companyUSD $2,182
Are there contracts with unallocated funds for contracts of type 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 $4,270
Insurance broker organization code?3
Amount paid for insurance broker fees2182
Additional information about fees paid to insurance brokerADMINISTRATIVE ALLOWANCE
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract numberGA-842137
Policy instance 1
Insurance contract or identification numberGA-842137
Number of Individuals Covered353
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $16,600
Total amount of fees paid to insurance companyUSD $1,234
Are there contracts with unallocated funds for contracts of type 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 $7,342
Insurance broker organization code?3
Amount paid for insurance broker fees1234
Additional information about fees paid to insurance brokerADMINISTRATIVE ALLOWANCE
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract numberGA-842137
Policy instance 3
Insurance contract or identification numberGA-842137
Number of Individuals Covered204
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $34,440
Total amount of fees paid to insurance companyUSD $4,374
Are there contracts with unallocated funds for contracts of type 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 $14,909
Amount paid for insurance broker fees0
Insurance broker organization code?3
Additional information about fees paid to insurance brokerTPA ALLOWANCE
Insurance broker nameNOVA 401(K) ASSOCIATES
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number715680
Policy instance 2
Insurance contract or identification number715680
Number of Individuals Covered0
Insurance policy start date2017-01-01
Insurance policy end date2017-08-31
Total amount of commissions paid to insurance brokerUSD $796
Total amount of fees paid to insurance companyUSD $80
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $796
Amount paid for insurance broker fees0
Insurance broker organization code?3
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker nameNOVA 401K ASSOCIATES
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered0
Insurance policy start date2017-01-01
Insurance policy end date2017-08-31
Total amount of commissions paid to insurance brokerUSD $168
Total amount of fees paid to insurance companyUSD $17
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 $168
Amount paid for insurance broker fees0
Insurance broker organization code?3
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker nameNOVA 401K ASSOCIATES
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered302
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $239
Total amount of fees paid to insurance companyUSD $48
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 $220
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerBROKER COMMISSION
Insurance broker organization code?3
Insurance broker nameNFP INSURANCE SERVICES
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 2
Insurance contract or identification number613953
Number of Individuals Covered185
Insurance policy start date2014-11-15
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
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?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
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 $0
Insurance broker organization code?4
Insurance broker nameNFP SECURITIES INC
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract number828448
Policy instance 1
Insurance contract or identification number828448
Number of Individuals Covered0
Insurance policy start date2014-01-01
Insurance policy end date2014-11-15
Total amount of commissions paid to insurance brokerUSD $4,161
Total amount of fees paid to insurance companyUSD $520
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?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
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 $4,161
Insurance broker organization code?3
Amount paid for insurance broker fees520
Additional information about fees paid to insurance brokerFEES
Insurance broker nameNOVA 401(K) ASSOCIATES
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract number828448
Policy instance 1
Insurance contract or identification number828448
Number of Individuals Covered101
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $3,122
Total amount of fees paid to insurance companyUSD $390
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?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
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 $3,122
Insurance broker organization code?3
Amount paid for insurance broker fees390
Additional information about fees paid to insurance brokerFEES
Insurance broker nameNOVA 401(K) ASSOCIATES
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract number828448
Policy instance 1
Insurance contract or identification number828448
Number of Individuals Covered83
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $1,513
Total amount of fees paid to insurance companyUSD $589
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?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
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 $1,513
Insurance broker organization code?3
Amount paid for insurance broker fees589
Additional information about fees paid to insurance brokerFEES
Insurance broker nameNOVA 401(K) ASSOCIATES

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