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RIDGEVIEW INSTITUTE RETIREMENT PLAN 401k Plan overview

Plan NameRIDGEVIEW INSTITUTE RETIREMENT PLAN
Plan identification number 001

RIDGEVIEW INSTITUTE RETIREMENT PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • 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 403(b)(1) arrangement - See Limited Pension Plan Reporting instructions for Code section 403(b)(1) arrangements for certain exempt organizations.

401k Sponsoring company profile

RIDGEVIEW INSTITUTE, INC. has sponsored the creation of one or more 401k plans.

Company Name:RIDGEVIEW INSTITUTE, INC.
Employer identification number (EIN):582077522
NAIC Classification:622000
NAIC Description: Hospitals

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RIDGEVIEW INSTITUTE RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012017-01-01ROBERT FINK
0012016-01-01RUTH JENKINS
0012015-01-01RUTH JENKINS
0012014-01-01RUTH JENKINS
0012013-01-01RUTH JENKINS
0012012-01-01RUTH JENKINS RUTH JENKINS2013-10-01
0012011-01-01JERRY MAGNISON
0012009-01-01JERRY MAGNISON

Plan Statistics for RIDGEVIEW INSTITUTE RETIREMENT PLAN

401k plan membership statisitcs for RIDGEVIEW INSTITUTE RETIREMENT PLAN

Measure Date Value
2017: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01953
Total number of active participants reported on line 7a of the Form 55002017-01-010
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-010
Total of all active and inactive participants2017-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-010
Number of participants with account balances2017-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01911
Total number of active participants reported on line 7a of the Form 55002016-01-01487
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-01466
Total of all active and inactive participants2016-01-01953
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01953
Number of participants with account balances2016-01-01764
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01878
Total number of active participants reported on line 7a of the Form 55002015-01-01480
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01428
Total of all active and inactive participants2015-01-01908
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01908
Number of participants with account balances2015-01-01773
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01480
Total number of active participants reported on line 7a of the Form 55002014-01-01473
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0124
Total of all active and inactive participants2014-01-01497
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01497
Number of participants with account balances2014-01-0136
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01774
Total number of active participants reported on line 7a of the Form 55002013-01-01466
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01361
Total of all active and inactive participants2013-01-01827
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01827
Number of participants with account balances2013-01-01720
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01753
Total number of active participants reported on line 7a of the Form 55002012-01-01455
Number of retired or separated participants receiving benefits2012-01-014
Number of other retired or separated participants entitled to future benefits2012-01-01340
Total of all active and inactive participants2012-01-01799
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01799
Number of participants with account balances2012-01-01689
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01731
Total number of active participants reported on line 7a of the Form 55002011-01-01431
Number of retired or separated participants receiving benefits2011-01-019
Number of other retired or separated participants entitled to future benefits2011-01-01330
Total of all active and inactive participants2011-01-01770
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01770
Number of participants with account balances2011-01-01673
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01776
Total number of active participants reported on line 7a of the Form 55002009-01-01492
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01284
Total of all active and inactive participants2009-01-01776
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01776
Number of participants with account balances2009-01-01593
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on RIDGEVIEW INSTITUTE RETIREMENT PLAN

Measure Date Value
2017 : RIDGEVIEW INSTITUTE RETIREMENT PLAN 2017 401k financial data
Total income from all sources (including contributions)2017-10-31$1,330,905
Total of all expenses incurred2017-10-31$17,672,891
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-10-31$17,637,561
Expenses. Certain deemed distributions of participant loans2017-10-31$-6,504
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-10-31$25,530
Value of total assets at end of year2017-10-31$0
Value of total assets at beginning of year2017-10-31$16,341,986
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-10-31$41,834
Total interest from all sources2017-10-31$91,485
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-10-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2017-10-31$0
Was this plan covered by a fidelity bond2017-10-31Yes
Value of fidelity bond cover2017-10-31$1,000,000
If this is an individual account plan, was there a blackout period2017-10-31No
Were there any nonexempt tranactions with any party-in-interest2017-10-31No
Contributions received from participants2017-10-31$25,530
Participant contributions at end of year2017-10-31$0
Participant contributions at beginning of year2017-10-31$278,139
Administrative expenses (other) incurred2017-10-31$6,586
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-10-31No
Value of net income/loss2017-10-31$-16,341,986
Value of net assets at end of year (total assets less liabilities)2017-10-31$0
Value of net assets at beginning of year (total assets less liabilities)2017-10-31$16,341,986
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-10-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-10-31No
Were any leases to which the plan was party in default or uncollectible2017-10-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-10-31$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-10-31$11,005,655
Interest on participant loans2017-10-31$5,491
Interest earned on other investments2017-10-31$85,994
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-10-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-10-31$5,047,891
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-10-31$1,213,890
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-10-31No
Was there a failure to transmit to the plan any participant contributions2017-10-31No
Has the plan failed to provide any benefit when due under the plan2017-10-31No
Employer contributions (assets) at beginning of year2017-10-31$10,301
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-10-31$17,637,561
Contract administrator fees2017-10-31$35,248
Did the plan have assets held for investment2017-10-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-10-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-10-31Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-10-31Yes
Opinion of an independent qualified public accountant for this plan2017-10-31Disclaimer
Accountancy firm name2017-10-31PERSHING YOAKLEY & ASSOCIATES P.C.
Accountancy firm EIN2017-10-31621517792
2016 : RIDGEVIEW INSTITUTE RETIREMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$1,897,579
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$738,292
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$689,382
Expenses. Certain deemed distributions of participant loans2016-12-31$8,928
Value of total corrective distributions2016-12-31$156
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$812,071
Value of total assets at end of year2016-12-31$16,341,986
Value of total assets at beginning of year2016-12-31$15,182,699
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$39,826
Total interest from all sources2016-12-31$142,543
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
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
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$711,185
Participant contributions at end of year2016-12-31$278,139
Participant contributions at beginning of year2016-12-31$286,512
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$0
Administrative expenses (other) incurred2016-12-31$2,762
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$1,159,287
Value of net assets at end of year (total assets less liabilities)2016-12-31$16,341,986
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$15,182,699
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 registered invesment companies (eg mutual funds) at end of year2016-12-31$11,005,655
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$9,881,239
Interest on participant loans2016-12-31$7,701
Interest earned on other investments2016-12-31$134,842
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$5,047,891
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$5,014,948
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$942,965
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 contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$100,886
Employer contributions (assets) at end of year2016-12-31$10,301
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$689,382
Contract administrator fees2016-12-31$37,064
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 name2016-12-31PERSHING YOAKLEY & ASSOCIATES P.C.
Accountancy firm EIN2016-12-31621517792
2015 : RIDGEVIEW INSTITUTE RETIREMENT PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$836,312
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$953,167
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$912,838
Expenses. Certain deemed distributions of participant loans2015-12-31$-6,169
Value of total corrective distributions2015-12-31$7,916
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$893,742
Value of total assets at end of year2015-12-31$15,182,699
Value of total assets at beginning of year2015-12-31$15,299,554
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$38,582
Total interest from all sources2015-12-31$147,917
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
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
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$757,350
Participant contributions at end of year2015-12-31$286,512
Participant contributions at beginning of year2015-12-31$265,569
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$12,329
Administrative expenses (other) incurred2015-12-31$2,588
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-116,855
Value of net assets at end of year (total assets less liabilities)2015-12-31$15,182,699
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$15,299,554
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 registered invesment companies (eg mutual funds) at end of year2015-12-31$9,881,239
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$9,790,327
Interest on participant loans2015-12-31$8,160
Interest earned on other investments2015-12-31$139,757
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$5,014,948
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$5,243,658
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-205,347
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$124,063
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$912,838
Contract administrator fees2015-12-31$35,994
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 name2015-12-31PERSHING YOAKLEY & ASSOCIATES P.C.
Accountancy firm EIN2015-12-31621517792
2014 : RIDGEVIEW INSTITUTE RETIREMENT 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$1,873,222
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$1,566,631
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$1,516,150
Expenses. Certain deemed distributions of participant loans2014-12-31$9,639
Value of total corrective distributions2014-12-31$5,074
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$1,181,419
Value of total assets at end of year2014-12-31$15,299,554
Value of total assets at beginning of year2014-12-31$14,992,963
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$35,768
Total interest from all sources2014-12-31$148,044
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 period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$778,638
Participant contributions at end of year2014-12-31$265,569
Participant contributions at beginning of year2014-12-31$187,671
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$1,397
Administrative expenses (other) incurred2014-12-31$2,439
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$306,591
Value of net assets at end of year (total assets less liabilities)2014-12-31$15,299,554
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$14,992,963
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 registered invesment companies (eg mutual funds) at end of year2014-12-31$9,790,327
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$9,678,154
Interest on participant loans2014-12-31$5,992
Interest earned on other investments2014-12-31$142,052
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$5,243,658
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$5,127,138
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$543,759
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$401,384
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$1,516,150
Contract administrator fees2014-12-31$33,329
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 name2014-12-31PERSHING YOAKLEY & ASSOCIATES P.C.
Accountancy firm EIN2014-12-31621517792
2013 : RIDGEVIEW INSTITUTE RETIREMENT 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$3,028,370
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$626,342
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$561,346
Expenses. Certain deemed distributions of participant loans2013-12-31$21,338
Value of total corrective distributions2013-12-31$10,267
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,071,526
Value of total assets at end of year2013-12-31$14,992,963
Value of total assets at beginning of year2013-12-31$12,590,935
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$33,391
Total interest from all sources2013-12-31$134,712
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
Was this plan covered by a fidelity bond2013-12-31No
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$699,327
Participant contributions at end of year2013-12-31$187,671
Participant contributions at beginning of year2013-12-31$160,020
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$170,879
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$2,402,028
Value of net assets at end of year (total assets less liabilities)2013-12-31$14,992,963
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$12,590,935
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 registered invesment companies (eg mutual funds) at end of year2013-12-31$9,678,154
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$8,048,284
Interest on participant loans2013-12-31$5,599
Interest earned on other investments2013-12-31$129,113
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$5,127,138
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$4,382,631
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$1,822,132
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$201,320
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$561,346
Contract administrator fees2013-12-31$33,391
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-12-31No
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 name2013-12-31PERSHING YOAKLEY AND ASSOCIATES PC
Accountancy firm EIN2013-12-31621517792
2012 : RIDGEVIEW INSTITUTE RETIREMENT 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$2,254,016
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$516,239
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$475,776
Expenses. Certain deemed distributions of participant loans2012-12-31$4,340
Value of total corrective distributions2012-12-31$4,935
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,116,945
Value of total assets at end of year2012-12-31$12,590,935
Value of total assets at beginning of year2012-12-31$10,853,158
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$31,188
Total interest from all sources2012-12-31$117,449
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
Was this plan covered by a fidelity bond2012-12-31No
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$716,287
Participant contributions at end of year2012-12-31$160,020
Participant contributions at beginning of year2012-12-31$144,250
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$7,976
Administrative expenses (other) incurred2012-12-31$3,935
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$1,737,777
Value of net assets at end of year (total assets less liabilities)2012-12-31$12,590,935
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$10,853,158
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 registered invesment companies (eg mutual funds) at end of year2012-12-31$8,048,284
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$7,008,836
Interest on participant loans2012-12-31$4,301
Interest earned on other investments2012-12-31$113,148
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$4,382,631
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$3,700,072
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$1,019,622
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$392,682
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$475,776
Contract administrator fees2012-12-31$27,253
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-12-31No
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 name2012-12-31PERSHING YOAKLEY & ASSCIATES,P.C.
Accountancy firm EIN2012-12-31621517792
2011 : RIDGEVIEW INSTITUTE RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$1,049,192
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$651,235
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$558,956
Expenses. Certain deemed distributions of participant loans2011-12-31$52,382
Value of total corrective distributions2011-12-31$10,139
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,188,424
Value of total assets at end of year2011-12-31$10,853,158
Value of total assets at beginning of year2011-12-31$10,455,201
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$29,758
Total interest from all sources2011-12-31$113,246
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31No
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$763,115
Participant contributions at end of year2011-12-31$144,250
Participant contributions at beginning of year2011-12-31$190,335
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$4,317
Administrative expenses (other) incurred2011-12-31$3,773
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$397,957
Value of net assets at end of year (total assets less liabilities)2011-12-31$10,853,158
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$10,455,201
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$7,008,836
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$7,022,802
Interest on participant loans2011-12-31$6,094
Interest earned on other investments2011-12-31$107,152
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$3,700,072
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$3,242,064
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-252,478
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$420,992
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$558,956
Contract administrator fees2011-12-31$25,985
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31PERSHING YOAKLEY & ASSOCIATES, P.C.
Accountancy firm EIN2011-12-31621517792
2010 : RIDGEVIEW INSTITUTE RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
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$1,884,118
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$290,396
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$238,036
Expenses. Certain deemed distributions of participant loans2010-12-31$22,536
Value of total corrective distributions2010-12-31$3,854
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$898,274
Value of total assets at end of year2010-12-31$10,455,201
Value of total assets at beginning of year2010-12-31$8,861,479
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$25,970
Total interest from all sources2010-12-31$106,668
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 year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31No
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$596,153
Participant contributions at end of year2010-12-31$190,335
Participant contributions at beginning of year2010-12-31$194,559
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$41,369
Administrative expenses (other) incurred2010-12-31$4,103
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$1,593,722
Value of net assets at end of year (total assets less liabilities)2010-12-31$10,455,201
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$8,861,479
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$7,022,802
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$5,997,820
Interest on participant loans2010-12-31$6,666
Interest earned on other investments2010-12-31$100,002
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$3,242,064
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$2,669,100
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$879,176
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$260,752
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$238,036
Contract administrator fees2010-12-31$21,867
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31PERSHING YOAKLEY & ASSOCIATES, P.C.
Accountancy firm EIN2010-12-31621517792

Form 5500 Responses for RIDGEVIEW INSTITUTE RETIREMENT PLAN

2017: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01This submission is the final filingYes
2017-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedYes
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: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: RIDGEVIEW INSTITUTE RETIREMENT PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

VARIABLE ANNUITY LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70238 )
Policy contract number46716
Policy instance 1
Insurance contract or identification number46716
Number of Individuals Covered0
Insurance policy start date2017-01-01
Insurance policy end date2017-10-31
Total amount of commissions paid to insurance brokerUSD $501
Contracts With Unallocated Funds Deposit Administration1
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $289
Insurance broker organization code?3
Insurance broker nameHOUGHLAND, VIVIAN
VARIABLE ANNUITY LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70238 )
Policy contract number46716
Policy instance 1
Insurance contract or identification number46716
Number of Individuals Covered775
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $8,047
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 Administration1
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare 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 $7,166
Insurance broker organization code?3
Insurance broker nameKLEIMAN, MARC Z
VARIABLE ANNUITY LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70238 )
Policy contract number46716
Policy instance 1
Insurance contract or identification number46716
Number of Individuals Covered726
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $11,926
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 Administration1
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare 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 $9,762
Insurance broker organization code?3
Insurance broker nameUNASSIGNED
VARIABLE ANNUITY LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70238 )
Policy contract number46716
Policy instance 1
Insurance contract or identification number46716
Number of Individuals Covered717
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $9,925
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 Administration1
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare 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 $8,954
Insurance broker organization code?3
Insurance broker nameKLEIMAN, MARC Z
VARIABLE ANNUITY LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70238 )
Policy contract number46716
Policy instance 1
Insurance contract or identification number46716
Number of Individuals Covered693
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $9,383
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 Administration1
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare 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 $8,499
Insurance broker organization code?3
Insurance broker namePEARSON, JOHN R
VARIABLE ANNUITY LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70238 )
Policy contract number46716
Policy instance 1
Insurance contract or identification number46716
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $17,149
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 Administration1
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare 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
VARIABLE ANNUITY LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70238 )
Policy contract number46716
Policy instance 1
Insurance contract or identification number46716
Number of Individuals Covered643
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $15,503
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 Administration1
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare 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 $13,833
Insurance broker organization code?3
Insurance broker nameFEFER, ALAN

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