401k Plan data: PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN plan

PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN 401k Plan overview

Plan Name	PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN
Plan identification number	001

PEAK INSURANCE, INC. EMPLOYEES 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.
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.

401k Sponsoring company profile

PEAK INSURANCE, INC. has sponsored the creation of one or more 401k plans.

Company Name: PEAK INSURANCE, INC.

Employer identification number (EIN): 630836770

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 JERE D. PEAK 2024-07-02
001 2022-01-01 JERE D. PEAK 2023-06-14
001 2021-01-01 JERE D. PEAK 2022-07-25
001 2020-01-01 JERE D. PEAK 2021-07-26
001 2019-01-01 JERE D. PEAK 2020-07-29
001 2018-01-01 JERE D. PEAK 2019-07-15
001 2017-01-01 JERE D. PEAK 2018-07-06
001 2016-01-01 JERE D. PEAK 2017-09-06
001 2015-01-01 JERE D. PEAK 2016-07-05
001 2014-01-01 JERE D. PEAK 2015-10-01
001 2014-01-01 JERE D. PEAK 2015-09-14
001 2013-01-01 JERE PEAK
001 2012-01-01 JERE PEAK
001 2011-01-01 JOHN B. MORRIS
001 2010-01-01 JOHN B. MORRIS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2023-01-01	JERE D. PEAK	2024-07-02
001	2022-01-01	JERE D. PEAK	2023-06-14
001	2021-01-01	JERE D. PEAK	2022-07-25
001	2020-01-01	JERE D. PEAK	2021-07-26
001	2019-01-01	JERE D. PEAK	2020-07-29
001	2018-01-01	JERE D. PEAK	2019-07-15
001	2017-01-01	JERE D. PEAK	2018-07-06
001	2016-01-01	JERE D. PEAK	2017-09-06
001	2015-01-01	JERE D. PEAK	2016-07-05
001	2014-01-01	JERE D. PEAK	2015-10-01
001	2014-01-01	JERE D. PEAK	2015-09-14
001	2013-01-01	JERE PEAK
001	2012-01-01	JERE PEAK
001	2011-01-01	JOHN B. MORRIS
001	2010-01-01	JOHN B. MORRIS

Plan Statistics for PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN

401k plan membership statisitcs for PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN

Measure Date Value
2013: PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 7
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 6
Total of all active and inactive participants 2013-01-01 6
Total participants 2013-01-01 6
Number of participants with account balances 2013-01-01 6
2012: PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 8
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 0
Total of all active and inactive participants 2012-01-01 8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 8
Number of participants with account balances 2012-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 9
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 0
Total of all active and inactive participants 2011-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 9
Number of participants with account balances 2011-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 11
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 9
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 0
Total of all active and inactive participants 2010-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 9
Number of participants with account balances 2010-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0

Measure	Date	Value
2013: PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	7
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	6
Total of all active and inactive participants	2013-01-01	6
Total participants	2013-01-01	6
Number of participants with account balances	2013-01-01	6
2012: PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	8
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	0
Total of all active and inactive participants	2012-01-01	8
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	8
Number of participants with account balances	2012-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	9
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	0
Total of all active and inactive participants	2011-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	9
Number of participants with account balances	2011-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	11
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	9
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	0
Total of all active and inactive participants	2010-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	9
Number of participants with account balances	2010-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0

Financial Data on PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN

Measure	Date	Value
2013 : PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$42,894
Expenses. Total of all expenses incurred	2013-12-31	$2,477
Benefits paid (including direct rollovers)	2013-12-31	$913
Total plan assets at end of year	2013-12-31	$149,783
Total plan assets at beginning of year	2013-12-31	$109,366
Other income received	2013-12-31	$22,894
Net income (gross income less expenses)	2013-12-31	$40,417
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$149,783
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$109,366
Total contributions received or receivable from employer(s)	2013-12-31	$20,000
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$1,564
2012 : PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$11,269
Expenses. Total of all expenses incurred	2012-12-31	$13,478
Benefits paid (including direct rollovers)	2012-12-31	$12,918
Total plan assets at end of year	2012-12-31	$109,366
Total plan assets at beginning of year	2012-12-31	$111,575
Other income received	2012-12-31	$11,269
Net income (gross income less expenses)	2012-12-31	$-2,209
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$109,366
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$111,575
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$560
2011 : PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$785
Expenses. Total of all expenses incurred	2011-12-31	$17,248
Benefits paid (including direct rollovers)	2011-12-31	$15,600
Total plan assets at end of year	2011-12-31	$111,575
Total plan assets at beginning of year	2011-12-31	$128,038
Other income received	2011-12-31	$785
Net income (gross income less expenses)	2011-12-31	$-16,463
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$111,575
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$128,038
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$1,648
2010 : PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$33,933
Expenses. Total of all expenses incurred	2010-12-31	$62,903
Benefits paid (including direct rollovers)	2010-12-31	$61,348
Total plan assets at end of year	2010-12-31	$128,038
Total plan assets at beginning of year	2010-12-31	$157,008
Other income received	2010-12-31	$8,933
Net income (gross income less expenses)	2010-12-31	$-28,970
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$128,038
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$157,008
Total contributions received or receivable from employer(s)	2010-12-31	$25,000
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$1,555

Form 5500 Responses for PEAK INSURANCE, INC. EMPLOYEES 401(K) PLAN

2013: PEAK INSURANCE, INC. EMPLOYEES 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 – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: PEAK INSURANCE, INC. EMPLOYEES 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: PEAK INSURANCE, INC. EMPLOYEES 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: PEAK INSURANCE, INC. EMPLOYEES 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 – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )

Policy contract number

G5614

Policy instance

Insurance contract or identification number	G5614
Number of Individuals Covered	6
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $500
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	500
Additional information about fees paid to insurance broker	FEES
Insurance broker organization code?	3
Insurance broker name	JOHN B MORRIS

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )

Policy contract number

G5614

Policy instance

Insurance contract or identification number	G5614
Number of Individuals Covered	8
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )

Policy contract number

G5614

Policy instance

Insurance contract or identification number	G5614
Number of Individuals Covered	9
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 $625
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
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

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )

Policy contract number

G5614

Policy instance

Insurance contract or identification number	G5614
Number of Individuals Covered	9
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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

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Company Name:	PEAK INSURANCE, INC.
Employer identification number (EIN):	630836770
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages