401k Plan data: THE CAPITAL COMPANIES 401(K) PLAN plan

THE CAPITAL COMPANIES 401(K) PLAN 401k Plan overview

Plan Name	THE CAPITAL COMPANIES 401(K) PLAN
Plan identification number	001

THE CAPITAL COMPANIES 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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

WK CAPITAL ENTERPRISES INC has sponsored the creation of one or more 401k plans.

Company Name: WK CAPITAL ENTERPRISES INC

Employer identification number (EIN): 480914416

NAIC Classification: 561110
NAIC Description: Office Administrative Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE CAPITAL COMPANIES 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01 SHAROL RASBERRY SHAROL RASBERRY 2017-10-07
001 2016-01-01 SHAROL RASBERRY 2017-08-15
001 2015-01-01 SHAROL RASBERRY SHAROL RASBERRY 2016-10-08
001 2014-01-01 SHAROL RASBERRY SHAROL RASBERRY 2015-10-08
001 2013-01-01 SHAROL RASBERRY SHAROL RASBERRY 2014-10-09
001 2012-01-01 SHAROL RASBERRY SHAROL RASBERRY 2013-09-09
001 2011-01-01 SHAROL RASBERRY SHAROL RASBERRY 2012-10-08
001 2010-01-01 MONA SCHNEIDER MONA SCHNEIDER 2011-07-26
001 2009-01-01 SHAROL RASBERRY SHAROL RASBERRY 2010-07-30

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2016-01-01	SHAROL RASBERRY	SHAROL RASBERRY	2017-10-07
001	2016-01-01		SHAROL RASBERRY	2017-08-15
001	2015-01-01	SHAROL RASBERRY	SHAROL RASBERRY	2016-10-08
001	2014-01-01	SHAROL RASBERRY	SHAROL RASBERRY	2015-10-08
001	2013-01-01	SHAROL RASBERRY	SHAROL RASBERRY	2014-10-09
001	2012-01-01	SHAROL RASBERRY	SHAROL RASBERRY	2013-09-09
001	2011-01-01	SHAROL RASBERRY	SHAROL RASBERRY	2012-10-08
001	2010-01-01	MONA SCHNEIDER	MONA SCHNEIDER	2011-07-26
001	2009-01-01	SHAROL RASBERRY	SHAROL RASBERRY	2010-07-30

Plan Statistics for THE CAPITAL COMPANIES 401(K) PLAN

401k plan membership statisitcs for THE CAPITAL COMPANIES 401(K) PLAN

Measure Date Value
2016: THE CAPITAL COMPANIES 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 854
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: THE CAPITAL COMPANIES 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 896
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 672
Number of retired or separated participants receiving benefits 2015-01-01 47
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 719
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 719
Number of participants with account balances 2015-01-01 327
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: THE CAPITAL COMPANIES 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 911
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 729
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 39
Total of all active and inactive participants 2014-01-01 768
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 768
Number of participants with account balances 2014-01-01 331
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: THE CAPITAL COMPANIES 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 938
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 749
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 36
Total of all active and inactive participants 2013-01-01 785
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 785
Number of participants with account balances 2013-01-01 344
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 1
2012: THE CAPITAL COMPANIES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 982
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 758
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 28
Total of all active and inactive participants 2012-01-01 786
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 786
Number of participants with account balances 2012-01-01 358
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: THE CAPITAL COMPANIES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 974
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 774
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 20
Total of all active and inactive participants 2011-01-01 794
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 794
Number of participants with account balances 2011-01-01 360
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: THE CAPITAL COMPANIES 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 959
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 777
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 28
Total of all active and inactive participants 2010-01-01 805
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 805
Number of participants with account balances 2010-01-01 388
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 3
2009: THE CAPITAL COMPANIES 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 915
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 751
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 25
Total of all active and inactive participants 2009-01-01 776
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 776
Number of participants with account balances 2009-01-01 387
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 4

Measure	Date	Value
2016: THE CAPITAL COMPANIES 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	854
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: THE CAPITAL COMPANIES 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	896
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	672
Number of retired or separated participants receiving benefits	2015-01-01	47
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	719
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	719
Number of participants with account balances	2015-01-01	327
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: THE CAPITAL COMPANIES 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	911
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	729
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	39
Total of all active and inactive participants	2014-01-01	768
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	768
Number of participants with account balances	2014-01-01	331
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: THE CAPITAL COMPANIES 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	938
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	749
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	36
Total of all active and inactive participants	2013-01-01	785
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	785
Number of participants with account balances	2013-01-01	344
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	1
2012: THE CAPITAL COMPANIES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	982
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	758
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	28
Total of all active and inactive participants	2012-01-01	786
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	786
Number of participants with account balances	2012-01-01	358
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: THE CAPITAL COMPANIES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	974
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	774
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	20
Total of all active and inactive participants	2011-01-01	794
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	794
Number of participants with account balances	2011-01-01	360
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: THE CAPITAL COMPANIES 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	959
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	777
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	28
Total of all active and inactive participants	2010-01-01	805
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	805
Number of participants with account balances	2010-01-01	388
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	3
2009: THE CAPITAL COMPANIES 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	915
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	751
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	25
Total of all active and inactive participants	2009-01-01	776
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	776
Number of participants with account balances	2009-01-01	387
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	4

Financial Data on THE CAPITAL COMPANIES 401(K) PLAN

Measure	Date	Value
2016 : THE CAPITAL COMPANIES 401(K) PLAN 2016 401k financial data
Total transfer of assets from this plan	2016-10-31	$363,427
Total income from all sources (including contributions)	2016-10-31	$458,416
Total of all expenses incurred	2016-10-31	$5,553,829
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-10-31	$5,529,854
Value of total corrective distributions	2016-10-31	$3,076
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-10-31	$168,265
Value of total assets at end of year	2016-10-31	$0
Value of total assets at beginning of year	2016-10-31	$5,458,840
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-10-31	$20,899
Total interest from all sources	2016-10-31	$2,233
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-10-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-10-31	$0
Administrative expenses professional fees incurred	2016-10-31	$16,364
Was this plan covered by a fidelity bond	2016-10-31	Yes
Value of fidelity bond cover	2016-10-31	$500,000
If this is an individual account plan, was there a blackout period	2016-10-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-10-31	No
Contributions received from participants	2016-10-31	$164,066
Assets. Other investments not covered elsewhere at end of year	2016-10-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2016-10-31	$47,898
Administrative expenses (other) incurred	2016-10-31	$4,535
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-10-31	No
Value of net income/loss	2016-10-31	$-5,095,413
Value of net assets at end of year (total assets less liabilities)	2016-10-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-10-31	$5,458,840
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-10-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-10-31	No
Were any leases to which the plan was party in default or uncollectible	2016-10-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-10-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-10-31	$5,399,394
Interest earned on other investments	2016-10-31	$2,233
Net investment gain/loss from pooled separate accounts	2016-10-31	$287,918
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-10-31	No
Was there a failure to transmit to the plan any participant contributions	2016-10-31	No
Has the plan failed to provide any benefit when due under the plan	2016-10-31	No
Contributions received in cash from employer	2016-10-31	$4,199
Employer contributions (assets) at end of year	2016-10-31	$0
Employer contributions (assets) at beginning of year	2016-10-31	$11,548
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-10-31	$5,529,854
Did the plan have assets held for investment	2016-10-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-10-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-10-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-10-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-10-31	Disclaimer
Accountancy firm name	2016-10-31	GRANT THORNTON, LLP
Accountancy firm EIN	2016-10-31	366055558
2015 : THE CAPITAL COMPANIES 401(K) PLAN 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$239,160
Total of all expenses incurred	2015-12-31	$515,353
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$500,175
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$385,162
Value of total assets at end of year	2015-12-31	$5,458,840
Value of total assets at beginning of year	2015-12-31	$5,735,033
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$15,178
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Administrative expenses professional fees incurred	2015-12-31	$12,262
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$373,614
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$47,898
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$36,894
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-276,193
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$5,458,840
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$5,735,033
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$5,399,394
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$5,698,139
Net investment gain/loss from pooled separate accounts	2015-12-31	$-146,002
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$11,548
Employer contributions (assets) at end of year	2015-12-31	$11,548
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$500,175
Contract administrator fees	2015-12-31	$2,916
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	GRANT THORNTON, LLP
Accountancy firm EIN	2015-12-31	366055558
2014 : THE CAPITAL COMPANIES 401(K) PLAN 2014 401k financial data
Total income from all sources (including contributions)	2014-12-31	$648,625
Total of all expenses incurred	2014-12-31	$420,836
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$404,712
Value of total corrective distributions	2014-12-31	$23
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$349,778
Value of total assets at end of year	2014-12-31	$5,735,033
Value of total assets at beginning of year	2014-12-31	$5,507,244
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$16,101
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Administrative expenses professional fees incurred	2014-12-31	$10,337
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$345,938
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$36,894
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$3,217
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$3,840
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$227,789
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$5,735,033
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$5,507,244
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$5,698,139
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$5,504,027
Net investment gain/loss from pooled separate accounts	2014-12-31	$298,847
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$404,712
Contract administrator fees	2014-12-31	$5,764
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	GRANT THORNTON, LLP
Accountancy firm EIN	2014-12-31	366055558
2013 : THE CAPITAL COMPANIES 401(K) PLAN 2013 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$319
Total income from all sources (including contributions)	2013-12-31	$1,077,874
Total of all expenses incurred	2013-12-31	$611,498
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$600,518
Value of total corrective distributions	2013-12-31	$1,273
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$353,214
Value of total assets at end of year	2013-12-31	$5,507,244
Value of total assets at beginning of year	2013-12-31	$5,041,187
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$9,707
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Administrative expenses professional fees incurred	2013-12-31	$6,514
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$351,831
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$3,217
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$1,383
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$319
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$466,376
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$5,507,244
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$5,040,868
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$5,504,027
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$5,041,187
Net investment gain/loss from pooled separate accounts	2013-12-31	$724,660
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$600,518
Contract administrator fees	2013-12-31	$3,193
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2013-12-31	Yes
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	GRANT THORNTON, LLP
Accountancy firm EIN	2013-12-31	366055558
2012 : THE CAPITAL COMPANIES 401(K) PLAN 2012 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$319
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$33
Total income from all sources (including contributions)	2012-12-31	$857,423
Total of all expenses incurred	2012-12-31	$428,197
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$421,453
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$364,512
Value of total assets at end of year	2012-12-31	$5,041,187
Value of total assets at beginning of year	2012-12-31	$4,611,675
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$6,744
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$364,512
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2012-12-31	$319
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-12-31	$33
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$429,226
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$5,040,868
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$4,611,642
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in pooled separate accounts at end of year	2012-12-31	$5,041,187
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$4,611,675
Net investment gain/loss from pooled separate accounts	2012-12-31	$492,911
Net investment gain or loss from common/collective trusts	2012-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$421,453
Contract administrator fees	2012-12-31	$6,744
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	GRANT THORNTON, LLP
Accountancy firm EIN	2012-12-31	366055558
2011 : THE CAPITAL COMPANIES 401(K) PLAN 2011 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$33
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$570
Total income from all sources (including contributions)	2011-12-31	$241,166
Total of all expenses incurred	2011-12-31	$230,915
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$227,736
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$377,636
Value of total assets at end of year	2011-12-31	$4,611,675
Value of total assets at beginning of year	2011-12-31	$4,601,961
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$3,179
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$377,636
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$33
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$570
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$10,251
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$4,611,642
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$4,601,391
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in pooled separate accounts at end of year	2011-12-31	$4,611,675
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$4,601,961
Net investment gain/loss from pooled separate accounts	2011-12-31	$-136,470
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$227,736
Contract administrator fees	2011-12-31	$3,179
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	GRANT THORNTON, LLP
Accountancy firm EIN	2011-12-31	366055558
2010 : THE CAPITAL COMPANIES 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$570
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$893,703
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$339,012
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$335,789
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$387,757
Value of total assets at end of year	2010-12-31	$4,601,961
Value of total assets at beginning of year	2010-12-31	$4,046,700
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$3,223
Total interest from all sources	2010-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$384,775
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$2,982
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$570
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$554,691
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$4,601,391
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$4,046,700
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in pooled separate accounts at end of year	2010-12-31	$4,601,961
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$4,046,700
Expenses. Payments to insurance carriers foe the provision of benefits	2010-12-31	$0
Net investment gain/loss from pooled separate accounts	2010-12-31	$505,946
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$335,789
Contract administrator fees	2010-12-31	$3,223
Liabilities. Value of benefit claims payable at beginning of year	2010-12-31	$0
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	GRANT THORNTON, LLP
Accountancy firm EIN	2010-12-31	366055558

Form 5500 Responses for THE CAPITAL COMPANIES 401(K) PLAN

2016: THE CAPITAL COMPANIES 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Mulitple employer plan
2016-01-01	Submission has been amended	Yes
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: THE CAPITAL COMPANIES 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Mulitple employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: THE CAPITAL COMPANIES 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: THE CAPITAL COMPANIES 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: THE CAPITAL COMPANIES 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: THE CAPITAL COMPANIES 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: THE CAPITAL COMPANIES 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: THE CAPITAL COMPANIES 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

110765

Policy instance

Insurance contract or identification number	110765
Number of Individuals Covered	327
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $14,302
Total amount of fees paid to insurance company	USD $2,909
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $14,302
Insurance broker organization code?	3
Amount paid for insurance broker fees	2909
Insurance broker name	QUALIFIED PLAN SOLUTIONS LC

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

110765

Policy instance

Insurance contract or identification number	110765
Number of Individuals Covered	331
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $14,195
Total amount of fees paid to insurance company	USD $4,098
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $14,195
Insurance broker organization code?	3
Amount paid for insurance broker fees	4098
Additional information about fees paid to insurance broker	TPA COMPENSATION & OTHER ALLOWANCES
Insurance broker name	QUALIFIED PLAN SOLUTIONS LC

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

110765

Policy instance

Insurance contract or identification number	110765
Number of Individuals Covered	344
Insurance policy start date	2013-05-22
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $6,722
Total amount of fees paid to insurance company	USD $10,933
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $6,722
Insurance broker organization code?	3
Amount paid for insurance broker fees	10933
Additional information about fees paid to insurance broker	TPA COMPENSATION AND OTHER ALLOWANCES
Insurance broker name	QUALIFIED PLAN SOLUTIONS LC

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-828031

Policy instance

Insurance contract or identification number	GA-828031
Number of Individuals Covered	0
Insurance policy start date	2013-01-01
Insurance policy end date	2013-05-31
Total amount of commissions paid to insurance broker	USD $5,028
Total amount of fees paid to insurance company	USD $1,179
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 Broker	USD $2,659
Insurance broker organization code?	3
Amount paid for insurance broker fees	1179
Additional information about fees paid to insurance broker	ADMINISTRATIVE ALLOWANCE
Insurance broker name	UBS FINANCIAL SVCS INS AGCY

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-828031

Policy instance

Insurance contract or identification number	GA-828031
Number of Individuals Covered	358
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $10,397
Total amount of fees paid to insurance company	USD $2,373
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 Broker	USD $10,397
Insurance broker organization code?	3
Additional information about fees paid to insurance broker	ADMINISTRATIVE ALLOWANCE
Insurance broker name	QUALIFIED PLAN SOLUTIONS LC

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-711668

Policy instance

Insurance contract or identification number	GA-711668
Number of Individuals Covered	0
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $3,018
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-828031

Policy instance

Insurance contract or identification number	GA-828031
Number of Individuals Covered	360
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $15,799
Total amount of fees paid to insurance company	USD $1,153
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

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

GA-711668

Policy instance

Insurance contract or identification number	GA-711668
Number of Individuals Covered	388
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $12,107
Total amount of fees paid to insurance company	USD $1,561
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 Broker	USD $12,107
Insurance broker organization code?	3
Amount paid for insurance broker fees	1561
Additional information about fees paid to insurance broker	ADMINISTRATIVE ALLOWANCE
Insurance broker name	QUALIFIED PLAN SOLUTIONS LC

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Company Name:	WK CAPITAL ENTERPRISES INC
Employer identification number (EIN):	480914416
NAIC Classification:	561110
NAIC Description:	Office Administrative Services