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CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN 401k Plan overview

Plan NameCAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN
Plan identification number 502

CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN Benefits

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

401k Sponsoring company profile

CAPITAL SOUTHWEST MANAGEMENT CORPORATION has sponsored the creation of one or more 401k plans.

Company Name:CAPITAL SOUTHWEST MANAGEMENT CORPORATION
Employer identification number (EIN):752146756
NAIC Classification:523900

Additional information about CAPITAL SOUTHWEST MANAGEMENT CORPORATION

Jurisdiction of Incorporation: Nevada Department of State
Incorporation Date: 1986-12-22
Company Identification Number: 19861024293
Legal Registered Office Address: 701 S CARSON ST STE 200

CARSON CITY
United States of America (USA)
89701

More information about CAPITAL SOUTHWEST MANAGEMENT CORPORATION

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
5022014-04-01MARY F. BURNS MARY F. BURNS2015-08-28
5022013-04-01KELLY TACKE
5022012-04-01TRACY MORRIS
5022011-04-01TRACY MORRIS
5022009-04-01TRACY MORRIS
5022009-04-01 TRACY MORRIS2010-07-26

Plan Statistics for CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN

401k plan membership statisitcs for CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN

Measure Date Value
2014: CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN 2014 401k membership
Total participants, beginning-of-year2014-04-01425
Total number of active participants reported on line 7a of the Form 55002014-04-01472
Number of retired or separated participants receiving benefits2014-04-011
Number of other retired or separated participants entitled to future benefits2014-04-010
Total of all active and inactive participants2014-04-01473
2013: CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN 2013 401k membership
Total participants, beginning-of-year2013-04-01405
Total number of active participants reported on line 7a of the Form 55002013-04-01431
Number of retired or separated participants receiving benefits2013-04-010
Number of other retired or separated participants entitled to future benefits2013-04-011
Total of all active and inactive participants2013-04-01432
2012: CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN 2012 401k membership
Total participants, beginning-of-year2012-04-01410
Total number of active participants reported on line 7a of the Form 55002012-04-01398
Number of retired or separated participants receiving benefits2012-04-011
Number of other retired or separated participants entitled to future benefits2012-04-010
Total of all active and inactive participants2012-04-01399
2011: CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN 2011 401k membership
Total participants, beginning-of-year2011-04-01358
Total number of active participants reported on line 7a of the Form 55002011-04-01409
Number of retired or separated participants receiving benefits2011-04-010
Number of other retired or separated participants entitled to future benefits2011-04-011
Total of all active and inactive participants2011-04-01410
2009: CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN 2009 401k membership
Total participants, beginning-of-year2009-04-01488
Total number of active participants reported on line 7a of the Form 55002009-04-01488
Number of retired or separated participants receiving benefits2009-04-011
Total of all active and inactive participants2009-04-01489
Total participants2009-04-01489

Form 5500 Responses for CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN

2014: CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN 2014 form 5500 responses
2014-04-01Type of plan entitySingle employer plan
2014-04-01Submission has been amendedNo
2014-04-01This submission is the final filingNo
2014-04-01This return/report is a short plan year return/report (less than 12 months)No
2014-04-01Plan is a collectively bargained planNo
2014-04-01Plan funding arrangement – InsuranceYes
2014-04-01Plan benefit arrangement – InsuranceYes
2013: CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN 2013 form 5500 responses
2013-04-01Type of plan entityMulitple employer plan
2013-04-01Submission has been amendedNo
2013-04-01This submission is the final filingNo
2013-04-01This return/report is a short plan year return/report (less than 12 months)No
2013-04-01Plan is a collectively bargained planNo
2013-04-01Plan funding arrangement – InsuranceYes
2013-04-01Plan benefit arrangement – InsuranceYes
2012: CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN 2012 form 5500 responses
2012-04-01Type of plan entityMulitple employer plan
2012-04-01Submission has been amendedNo
2012-04-01This submission is the final filingNo
2012-04-01This return/report is a short plan year return/report (less than 12 months)No
2012-04-01Plan is a collectively bargained planNo
2012-04-01Plan funding arrangement – InsuranceYes
2012-04-01Plan benefit arrangement – InsuranceYes
2011: CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN 2011 form 5500 responses
2011-04-01Type of plan entityMulitple employer plan
2011-04-01Submission has been amendedNo
2011-04-01This submission is the final filingNo
2011-04-01This return/report is a short plan year return/report (less than 12 months)No
2011-04-01Plan is a collectively bargained planNo
2011-04-01Plan funding arrangement – InsuranceYes
2011-04-01Plan benefit arrangement – InsuranceYes
2009: CAPITAL SOUTHWEST CORP & AFFILIATES GROUP DISABILITY PLAN 2009 form 5500 responses
2009-04-01Type of plan entityMulitple employer plan
2009-04-01Submission has been amendedYes
2009-04-01This submission is the final filingNo
2009-04-01This return/report is a short plan year return/report (less than 12 months)No
2009-04-01Plan is a collectively bargained planNo
2009-04-01Plan funding arrangement – InsuranceYes
2009-04-01Plan benefit arrangement – InsuranceYes

Insurance Providers Used on plan

PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number01216
Policy instance 1
Insurance contract or identification number01216
Number of Individuals Covered476
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $22,412
Total amount of fees paid to insurance companyUSD $794
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $78,413
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $22,412
Insurance broker organization code?3
Amount paid for insurance broker fees621
Additional information about fees paid to insurance brokerSUPPLEMENTAL COMMISSIONS
Insurance broker nameAXA ASSISTANCE, USA
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number01216
Policy instance 1
Insurance contract or identification number01216
Number of Individuals Covered415
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $20,356
Total amount of fees paid to insurance companyUSD $545
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $71,190
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $20,356
Insurance broker organization code?3
Amount paid for insurance broker fees398
Additional information about fees paid to insurance brokerSUPPLEMENTAL COMMISSIONS
Insurance broker nameAXA ASSISTANCE, USA
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number01216
Policy instance 1
Insurance contract or identification number01216
Number of Individuals Covered425
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $20,150
Total amount of fees paid to insurance companyUSD $1,336
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $69,592
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $20,150
Insurance broker organization code?3
Amount paid for insurance broker fees1186
Additional information about fees paid to insurance brokerSUPPLEMENTAL COMMISSIONS
Insurance broker nameAXA ASSISTANCE, USA
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number01216
Policy instance 1
Insurance contract or identification number01216
Number of Individuals Covered377
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $18,156
Total amount of fees paid to insurance companyUSD $128
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $60,770
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number01216
Policy instance 1
Insurance contract or identification number01216
Number of Individuals Covered353
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $8,148
Total amount of fees paid to insurance companyUSD $63
Long Term Disability Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $66,893
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $9,145
Additional information about fees paid to insurance brokerSALES & SERVICES COMPENSATION
Insurance broker organization code?3
Amount paid for insurance broker fees60
Insurance broker nameAXA ASSISTANCE USA

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