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RF INDUSTRIES, LTD. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NameRF INDUSTRIES, LTD. 401(K) PROFIT SHARING PLAN
Plan identification number 001

RF INDUSTRIES, LTD. 401(K) PROFIT SHARING PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

RF INDUSTRIES, LTD has sponsored the creation of one or more 401k plans.

Company Name:RF INDUSTRIES, LTD
Employer identification number (EIN):880168936
NAIC Classification:334110

Additional information about RF INDUSTRIES, LTD

Jurisdiction of Incorporation: California Department of State
Incorporation Date:
Company Identification Number: C1002573

More information about RF INDUSTRIES, LTD

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RF INDUSTRIES, LTD. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01
0012016-01-01
0012015-01-01MARK TURFLER
0012014-01-01MARK TURFLER
0012013-01-01MARK TURFLER
0012012-01-01HOWARD F. HILL2013-07-19
0012011-01-01ANGELA SUTTON2012-05-03
0012010-01-01ANGELA SUTTON2011-04-28

Plan Statistics for RF INDUSTRIES, LTD. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for RF INDUSTRIES, LTD. 401(K) PROFIT SHARING PLAN

Measure Date Value
2016: RF INDUSTRIES, LTD. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01150
Total number of active participants reported on line 7a of the Form 55002016-01-0163
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0130
Total of all active and inactive participants2016-01-0193
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-0193
Number of participants with account balances2016-01-0185
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: RF INDUSTRIES, LTD. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01145
Total number of active participants reported on line 7a of the Form 55002015-01-01114
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0136
Total of all active and inactive participants2015-01-01150
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01150
Number of participants with account balances2015-01-01133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: RF INDUSTRIES, LTD. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01158
Total number of active participants reported on line 7a of the Form 55002014-01-01127
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0118
Total of all active and inactive participants2014-01-01145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01145
Number of participants with account balances2014-01-01145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: RF INDUSTRIES, LTD. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01127
Total number of active participants reported on line 7a of the Form 55002013-01-01108
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-014
Total of all active and inactive participants2013-01-01112
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01112
Number of participants with account balances2013-01-0131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010

Financial Data on RF INDUSTRIES, LTD. 401(K) PROFIT SHARING PLAN

Measure Date Value
2016 : RF INDUSTRIES, LTD. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total transfer of assets from this plan2016-12-31$491,465
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$491,464
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$100
Total income from all sources (including contributions)2016-12-31$647,900
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$459,313
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$458,431
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$507,687
Value of total assets at end of year2016-12-31$2,529,770
Value of total assets at beginning of year2016-12-31$2,341,284
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$882
Total interest from all sources2016-12-31$755
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
Administrative expenses professional fees incurred2016-12-31$750
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$200,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$356,676
Participant contributions at end of year2016-12-31$19,853
Participant contributions at beginning of year2016-12-31$15,051
Participant contributions at end of year2016-12-31$25
Participant contributions at beginning of year2016-12-31$25
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-12-31$491,464
Other income not declared elsewhere2016-12-31$2,323
Total non interest bearing cash at beginning of year2016-12-31$3,733
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$188,587
Value of net assets at end of year (total assets less liabilities)2016-12-31$2,038,306
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$2,341,184
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in pooled separate accounts at end of year2016-12-31$2,500,536
Value of interest in pooled separate accounts at beginning of year2016-12-31$2,316,907
Interest on participant loans2016-12-31$755
Net investment gain/loss from pooled separate accounts2016-12-31$137,135
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$151,011
Employer contributions (assets) at end of year2016-12-31$9,356
Employer contributions (assets) at beginning of year2016-12-31$5,568
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$458,431
Contract administrator fees2016-12-31$132
Liabilities. Value of benefit claims payable at beginning of year2016-12-31$100
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 name2016-12-31COHNREZNICK LLP
Accountancy firm EIN2016-12-31221478099
2015 : RF INDUSTRIES, LTD. 401(K) PROFIT SHARING 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$100
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$652,693
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$123,201
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$122,773
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$649,598
Value of total assets at end of year2015-12-31$2,341,284
Value of total assets at beginning of year2015-12-31$1,811,692
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$428
Total interest from all sources2015-12-31$666
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
Administrative expenses professional fees incurred2015-12-31$300
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$200,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$376,437
Participant contributions at end of year2015-12-31$15,051
Participant contributions at beginning of year2015-12-31$18,522
Participant contributions at end of year2015-12-31$25
Participant contributions at beginning of year2015-12-31$4,354
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$97,927
Other income not declared elsewhere2015-12-31$2,303
Total non interest bearing cash at end of year2015-12-31$3,733
Total non interest bearing cash at beginning of year2015-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$529,492
Value of net assets at end of year (total assets less liabilities)2015-12-31$2,341,184
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$1,811,692
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in pooled separate accounts at end of year2015-12-31$2,316,907
Value of interest in pooled separate accounts at beginning of year2015-12-31$1,773,778
Interest on participant loans2015-12-31$666
Net investment gain/loss from pooled separate accounts2015-12-31$126
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$175,234
Employer contributions (assets) at end of year2015-12-31$5,568
Employer contributions (assets) at beginning of year2015-12-31$15,038
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$122,773
Contract administrator fees2015-12-31$128
Liabilities. Value of benefit claims payable at end of year2015-12-31$100
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 name2015-12-31COHNREZNICK LLP
Accountancy firm EIN2015-12-31221478099
2014 : RF INDUSTRIES, LTD. 401(K) PROFIT SHARING 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$589,165
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$75,324
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$56,039
Value of total corrective distributions2014-12-31$18,777
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$486,846
Value of total assets at end of year2014-12-31$1,811,692
Value of total assets at beginning of year2014-12-31$1,297,851
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$508
Total interest from all sources2014-12-31$529
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$200,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$308,487
Participant contributions at end of year2014-12-31$18,522
Participant contributions at beginning of year2014-12-31$10,940
Participant contributions at end of year2014-12-31$4,354
Participant contributions at beginning of year2014-12-31$426
Other income not declared elsewhere2014-12-31$266
Administrative expenses (other) incurred2014-12-31$108
Total non interest bearing cash at end of year2014-12-31$0
Total non interest bearing cash at beginning of year2014-12-31$1,253
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$513,841
Value of net assets at end of year (total assets less liabilities)2014-12-31$1,811,692
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$1,297,851
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in pooled separate accounts at end of year2014-12-31$1,773,778
Value of interest in pooled separate accounts at beginning of year2014-12-31$1,285,232
Interest on participant loans2014-12-31$529
Net investment gain/loss from pooled separate accounts2014-12-31$101,524
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 contributions2014-12-31Yes
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$178,359
Employer contributions (assets) at end of year2014-12-31$15,038
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$56,039
Contract administrator fees2014-12-31$400
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 name2014-12-31COHNREZNICK LLP
Accountancy firm EIN2014-12-31221478099
2013 : RF INDUSTRIES, LTD. 401(K) PROFIT SHARING 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$474,020
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$119,509
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$114,510
Value of total corrective distributions2013-12-31$4,829
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$241,984
Value of total assets at end of year2013-12-31$1,297,851
Value of total assets at beginning of year2013-12-31$943,340
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$170
Total interest from all sources2013-12-31$522
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 bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$140,000
If this is an individual account plan, was there a blackout period2013-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$146,606
Participant contributions at end of year2013-12-31$10,940
Participant contributions at beginning of year2013-12-31$18,158
Participant contributions at end of year2013-12-31$426
Participant contributions at beginning of year2013-12-31$3,734
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$95,378
Administrative expenses (other) incurred2013-12-31$170
Total non interest bearing cash at end of year2013-12-31$1,253
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$354,511
Value of net assets at end of year (total assets less liabilities)2013-12-31$1,297,851
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$943,340
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in pooled separate accounts at end of year2013-12-31$1,285,232
Value of interest in pooled separate accounts at beginning of year2013-12-31$921,448
Interest on participant loans2013-12-31$522
Net investment gain/loss from pooled separate accounts2013-12-31$231,514
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 contributions2013-12-31Yes
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$114,510
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-12-31Yes
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 name2013-12-31COHNREZNICK LLP
Accountancy firm EIN2013-12-31221478099

Form 5500 Responses for RF INDUSTRIES, LTD. 401(K) PROFIT SHARING PLAN

2016: RF INDUSTRIES, LTD. 401(K) PROFIT SHARING 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 - TrustYes
2015: RF INDUSTRIES, LTD. 401(K) PROFIT SHARING 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 - TrustYes
2014: RF INDUSTRIES, LTD. 401(K) PROFIT SHARING 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 - TrustYes
2013: RF INDUSTRIES, LTD. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number112506
Policy instance 1
Insurance contract or identification number112506
Number of Individuals Covered128
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $5,326
Total amount of fees paid to insurance companyUSD $300
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 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 $5,326
Insurance broker organization code?3
Amount paid for insurance broker fees300
Additional information about fees paid to insurance brokerFEES PAID
Insurance broker nameAKT RETIREMENT PLAN SERVICES
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number112506
Policy instance 1
Insurance contract or identification number112506
Number of Individuals Covered143
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $3,695
Total amount of fees paid to insurance companyUSD $1,600
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 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 $2,314
Insurance broker organization code?3
Amount paid for insurance broker fees1200
Additional information about fees paid to insurance brokerTPA ALLOWANCE
Insurance broker nameAKT RETIREMENT PLAN SERVICES
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number112506
Policy instance 1
Insurance contract or identification number112506
Number of Individuals Covered30
Insurance policy start date2013-12-16
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?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
MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )
Policy contract number0720117
Policy instance 2
Insurance contract or identification number0720117
Number of Individuals Covered0
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $4,304
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?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
Commission paid to Insurance BrokerUSD $4,304
Insurance broker organization code?3
Insurance broker nameVINCE GIOVINAZZO

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