SUTTER EAST BAY HOSPITALS has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan ALTA BATES SUMMIT 403(B) TDA RETIREMENT PLAN
Measure | Date | Value |
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2017 : ALTA BATES SUMMIT 403(B) TDA RETIREMENT PLAN 2017 401k financial data |
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Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-12-31 | $651 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-12-31 | $20,345 |
Total income from all sources (including contributions) | 2017-12-31 | $2,128,675 |
Total of all expenses incurred | 2017-12-31 | $1,716,695 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2017-12-31 | $1,700,579 |
Expenses. Certain deemed distributions of participant loans | 2017-12-31 | $14,176 |
Value of total assets at end of year | 2017-12-31 | $21,475,294 |
Value of total assets at beginning of year | 2017-12-31 | $21,083,008 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2017-12-31 | $1,940 |
Total interest from all sources | 2017-12-31 | $358,879 |
Total dividends received (eg from common stock, registered investment company shares) | 2017-12-31 | $294,510 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2017-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2017-12-31 | $294,510 |
Was this plan covered by a fidelity bond | 2017-12-31 | Yes |
Value of fidelity bond cover | 2017-12-31 | $10,000,000 |
If this is an individual account plan, was there a blackout period | 2017-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2017-12-31 | No |
Participant contributions at end of year | 2017-12-31 | $85,510 |
Participant contributions at beginning of year | 2017-12-31 | $148,687 |
Administrative expenses (other) incurred | 2017-12-31 | $1,940 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2017-12-31 | No |
Value of net income/loss | 2017-12-31 | $411,980 |
Value of net assets at end of year (total assets less liabilities) | 2017-12-31 | $21,474,643 |
Value of net assets at beginning of year (total assets less liabilities) | 2017-12-31 | $21,062,663 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2017-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2017-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2017-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2017-12-31 | $4,921,790 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2017-12-31 | $4,390,812 |
Value of interest in pooled separate accounts at end of year | 2017-12-31 | $5,829,786 |
Value of interest in pooled separate accounts at beginning of year | 2017-12-31 | $5,469,013 |
Interest on participant loans | 2017-12-31 | $5,540 |
Interest earned on other investments | 2017-12-31 | $353,339 |
Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2017-12-31 | $10,638,208 |
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2017-12-31 | $11,074,496 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2017-12-31 | $1,475,286 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2017-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2017-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2017-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2017-12-31 | $1,700,579 |
Liabilities. Value of benefit claims payable at end of year | 2017-12-31 | $651 |
Liabilities. Value of benefit claims payable at beginning of year | 2017-12-31 | $20,345 |
Did the plan have assets held for investment | 2017-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2017-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2017-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2017-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2017-12-31 | Disclaimer |
Accountancy firm name | 2017-12-31 | MOSS ADAMS LLP |
Accountancy firm EIN | 2017-12-31 | 910189318 |
2016 : ALTA BATES SUMMIT 403(B) TDA RETIREMENT PLAN 2016 401k financial data |
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Total transfer of assets from this plan | 2016-12-31 | $26,737,889 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2016-12-31 | $20,345 |
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 | $1,919,085 |
Total of all expenses incurred | 2016-12-31 | $4,309,806 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2016-12-31 | $4,286,609 |
Expenses. Certain deemed distributions of participant loans | 2016-12-31 | $1,847 |
Value of total assets at end of year | 2016-12-31 | $21,083,008 |
Value of total assets at beginning of year | 2016-12-31 | $50,191,273 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2016-12-31 | $21,350 |
Total interest from all sources | 2016-12-31 | $525,545 |
Total dividends received (eg from common stock, registered investment company shares) | 2016-12-31 | $364,844 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2016-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2016-12-31 | $364,844 |
Was this plan covered by a fidelity bond | 2016-12-31 | Yes |
Value of fidelity bond cover | 2016-12-31 | $10,000,000 |
If this is an individual account plan, was there a blackout period | 2016-12-31 | Yes |
Were there any nonexempt tranactions with any party-in-interest | 2016-12-31 | No |
Participant contributions at end of year | 2016-12-31 | $148,687 |
Participant contributions at beginning of year | 2016-12-31 | $381,633 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2016-12-31 | $14,419 |
Other income not declared elsewhere | 2016-12-31 | $13,302 |
Administrative expenses (other) incurred | 2016-12-31 | $21,350 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2016-12-31 | No |
Value of net income/loss | 2016-12-31 | $-2,390,721 |
Value of net assets at end of year (total assets less liabilities) | 2016-12-31 | $21,062,663 |
Value of net assets at beginning of year (total assets less liabilities) | 2016-12-31 | $50,191,273 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2016-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2016-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2016-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2016-12-31 | $4,390,812 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2016-12-31 | $26,223,245 |
Value of interest in pooled separate accounts at end of year | 2016-12-31 | $5,469,013 |
Value of interest in pooled separate accounts at beginning of year | 2016-12-31 | $6,165,827 |
Interest on participant loans | 2016-12-31 | $10,891 |
Interest earned on other investments | 2016-12-31 | $514,654 |
Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2016-12-31 | $11,074,496 |
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2016-12-31 | $17,406,149 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2016-12-31 | $1,015,394 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2016-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2016-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2016-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2016-12-31 | $4,286,609 |
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2016-12-31 | Yes |
Liabilities. Value of benefit claims payable at end of year | 2016-12-31 | $20,345 |
Liabilities. Value of benefit claims payable at beginning of year | 2016-12-31 | $0 |
Did the plan have assets held for investment | 2016-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2016-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2016-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2016-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2016-12-31 | Disclaimer |
Accountancy firm name | 2016-12-31 | MOSS ADAMS LLP |
Accountancy firm EIN | 2016-12-31 | 910189318 |
2015 : ALTA BATES SUMMIT 403(B) TDA RETIREMENT PLAN 2015 401k financial data |
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Total transfer of assets from this plan | 2015-12-31 | $259,269 |
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 | $252,209 |
Total income from all sources (including contributions) | 2015-12-31 | $917,953 |
Total of all expenses incurred | 2015-12-31 | $4,472,560 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-12-31 | $4,330,492 |
Expenses. Certain deemed distributions of participant loans | 2015-12-31 | $137,496 |
Value of total assets at end of year | 2015-12-31 | $50,191,273 |
Value of total assets at beginning of year | 2015-12-31 | $54,257,358 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-12-31 | $4,572 |
Total interest from all sources | 2015-12-31 | $639,199 |
Total dividends received (eg from common stock, registered investment company shares) | 2015-12-31 | $1,281,762 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2015-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2015-12-31 | $1,281,762 |
Was this plan covered by a fidelity bond | 2015-12-31 | Yes |
Value of fidelity bond cover | 2015-12-31 | $10,000,000 |
If this is an individual account plan, was there a blackout period | 2015-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2015-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2015-12-31 | No |
Participant contributions at end of year | 2015-12-31 | $381,633 |
Participant contributions at beginning of year | 2015-12-31 | $595,550 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2015-12-31 | $14,419 |
Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2015-12-31 | $3,892 |
Other income not declared elsewhere | 2015-12-31 | $24,801 |
Administrative expenses (other) incurred | 2015-12-31 | $4,572 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-12-31 | No |
Value of net income/loss | 2015-12-31 | $-3,554,607 |
Value of net assets at end of year (total assets less liabilities) | 2015-12-31 | $50,191,273 |
Value of net assets at beginning of year (total assets less liabilities) | 2015-12-31 | $54,005,149 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2015-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2015-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2015-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2015-12-31 | $26,223,245 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2015-12-31 | $34,381,333 |
Value of interest in pooled separate accounts at end of year | 2015-12-31 | $6,165,827 |
Value of interest in pooled separate accounts at beginning of year | 2015-12-31 | $624,381 |
Interest on participant loans | 2015-12-31 | $25,286 |
Interest earned on other investments | 2015-12-31 | $613,913 |
Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2015-12-31 | $17,406,149 |
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2015-12-31 | $18,652,202 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2015-12-31 | $-1,027,809 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2015-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2015-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2015-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-12-31 | $4,330,492 |
Liabilities. Value of benefit claims payable at end of year | 2015-12-31 | $0 |
Liabilities. Value of benefit claims payable at beginning of year | 2015-12-31 | $252,209 |
Did the plan have assets held for investment | 2015-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2015-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2015-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2015-12-31 | Disclaimer |
Accountancy firm name | 2015-12-31 | MOSS ADAMS LLP |
Accountancy firm EIN | 2015-12-31 | 910189318 |
2014 : ALTA BATES SUMMIT 403(B) TDA RETIREMENT PLAN 2014 401k financial data |
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Total transfer of assets from this plan | 2014-12-31 | $339,928 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $252,209 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-12-31 | $157,509 |
Total income from all sources (including contributions) | 2014-12-31 | $3,236,147 |
Total of all expenses incurred | 2014-12-31 | $5,769,142 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-12-31 | $5,724,327 |
Expenses. Certain deemed distributions of participant loans | 2014-12-31 | $38,711 |
Value of total assets at end of year | 2014-12-31 | $54,257,358 |
Value of total assets at beginning of year | 2014-12-31 | $57,035,581 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-12-31 | $6,104 |
Total interest from all sources | 2014-12-31 | $680,581 |
Total dividends received (eg from common stock, registered investment company shares) | 2014-12-31 | $1,534,034 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2014-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2014-12-31 | $1,534,034 |
Was this plan covered by a fidelity bond | 2014-12-31 | Yes |
Value of fidelity bond cover | 2014-12-31 | $10,000,000 |
If this is an individual account plan, was there a blackout period | 2014-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2014-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2014-12-31 | No |
Participant contributions at end of year | 2014-12-31 | $595,550 |
Participant contributions at beginning of year | 2014-12-31 | $719,091 |
Value of other receiveables (less allowance for doubtful accounts) at end of year | 2014-12-31 | $3,892 |
Other income not declared elsewhere | 2014-12-31 | $20,101 |
Administrative expenses (other) incurred | 2014-12-31 | $6,104 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-12-31 | No |
Value of net income/loss | 2014-12-31 | $-2,532,995 |
Value of net assets at end of year (total assets less liabilities) | 2014-12-31 | $54,005,149 |
Value of net assets at beginning of year (total assets less liabilities) | 2014-12-31 | $56,878,072 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2014-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2014-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2014-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2014-12-31 | $34,381,333 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2014-12-31 | $35,201,948 |
Value of interest in pooled separate accounts at end of year | 2014-12-31 | $624,381 |
Value of interest in pooled separate accounts at beginning of year | 2014-12-31 | $649,650 |
Interest on participant loans | 2014-12-31 | $28,072 |
Interest earned on other investments | 2014-12-31 | $652,509 |
Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2014-12-31 | $18,652,202 |
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2014-12-31 | $20,464,892 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2014-12-31 | $1,001,431 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2014-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2014-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2014-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-12-31 | $5,724,327 |
Liabilities. Value of benefit claims payable at end of year | 2014-12-31 | $252,209 |
Liabilities. Value of benefit claims payable at beginning of year | 2014-12-31 | $157,509 |
Did the plan have assets held for investment | 2014-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2014-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2014-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2014-12-31 | Disclaimer |
Accountancy firm name | 2014-12-31 | MOSS ADAMS LLP |
Accountancy firm EIN | 2014-12-31 | 910189318 |
2013 : ALTA BATES SUMMIT 403(B) TDA RETIREMENT PLAN 2013 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2013-12-31 | $0 |
Total transfer of assets to this plan | 2013-12-31 | $-553,196 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $157,509 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-12-31 | $32,648 |
Total income from all sources (including contributions) | 2013-12-31 | $7,260,972 |
Total loss/gain on sale of assets | 2013-12-31 | $0 |
Total of all expenses incurred | 2013-12-31 | $4,721,967 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-12-31 | $4,737,437 |
Expenses. Certain deemed distributions of participant loans | 2013-12-31 | $-21,907 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-12-31 | $0 |
Value of total assets at end of year | 2013-12-31 | $57,035,581 |
Value of total assets at beginning of year | 2013-12-31 | $54,924,911 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-12-31 | $6,437 |
Total interest from all sources | 2013-12-31 | $739,544 |
Total dividends received (eg from common stock, registered investment company shares) | 2013-12-31 | $1,101,964 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2013-12-31 | $1,101,964 |
Was this plan covered by a fidelity bond | 2013-12-31 | Yes |
Value of fidelity bond cover | 2013-12-31 | $10,000,000 |
If this is an individual account plan, was there a blackout period | 2013-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2013-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2013-12-31 | No |
Participant contributions at end of year | 2013-12-31 | $719,091 |
Participant contributions at beginning of year | 2013-12-31 | $794,896 |
Administrative expenses (other) incurred | 2013-12-31 | $2,989 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
Value of net income/loss | 2013-12-31 | $2,539,005 |
Value of net assets at end of year (total assets less liabilities) | 2013-12-31 | $56,878,072 |
Value of net assets at beginning of year (total assets less liabilities) | 2013-12-31 | $54,892,263 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2013-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2013-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2013-12-31 | $35,201,948 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-12-31 | $32,076,553 |
Value of interest in pooled separate accounts at end of year | 2013-12-31 | $649,650 |
Value of interest in pooled separate accounts at beginning of year | 2013-12-31 | $711,262 |
Interest on participant loans | 2013-12-31 | $38,525 |
Interest earned on other investments | 2013-12-31 | $701,019 |
Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2013-12-31 | $20,464,892 |
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2013-12-31 | $21,342,200 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2013-12-31 | $5,419,464 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2013-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2013-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-12-31 | $4,737,437 |
Contract administrator fees | 2013-12-31 | $3,448 |
Liabilities. Value of benefit claims payable at end of year | 2013-12-31 | $157,509 |
Liabilities. Value of benefit claims payable at beginning of year | 2013-12-31 | $32,648 |
Did the plan have assets held for investment | 2013-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2013-12-31 | Disclaimer |
Accountancy firm name | 2013-12-31 | ERNST & YOUNG LLP |
Accountancy firm EIN | 2013-12-31 | 346565596 |
2012 : ALTA BATES SUMMIT 403(B) TDA RETIREMENT PLAN 2012 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2012-12-31 | $0 |
Total transfer of assets from this plan | 2012-12-31 | $235,649 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $32,648 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-12-31 | $56,085 |
Total income from all sources (including contributions) | 2012-12-31 | $4,353,108 |
Total loss/gain on sale of assets | 2012-12-31 | $0 |
Total of all expenses incurred | 2012-12-31 | $4,070,436 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-12-31 | $4,054,464 |
Expenses. Certain deemed distributions of participant loans | 2012-12-31 | $9,270 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-12-31 | $0 |
Value of total assets at end of year | 2012-12-31 | $54,924,911 |
Value of total assets at beginning of year | 2012-12-31 | $54,901,325 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-12-31 | $6,702 |
Total interest from all sources | 2012-12-31 | $793,752 |
Total dividends received (eg from common stock, registered investment company shares) | 2012-12-31 | $516,673 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2012-12-31 | $516,673 |
Was this plan covered by a fidelity bond | 2012-12-31 | Yes |
Value of fidelity bond cover | 2012-12-31 | $10,000,000 |
If this is an individual account plan, was there a blackout period | 2012-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2012-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2012-12-31 | No |
Participant contributions at end of year | 2012-12-31 | $794,896 |
Participant contributions at beginning of year | 2012-12-31 | $965,153 |
Administrative expenses (other) incurred | 2012-12-31 | $3,168 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
Value of net income/loss | 2012-12-31 | $282,672 |
Value of net assets at end of year (total assets less liabilities) | 2012-12-31 | $54,892,263 |
Value of net assets at beginning of year (total assets less liabilities) | 2012-12-31 | $54,845,240 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2012-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2012-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2012-12-31 | $32,076,553 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2012-12-31 | $31,148,846 |
Value of interest in pooled separate accounts at end of year | 2012-12-31 | $711,262 |
Value of interest in pooled separate accounts at beginning of year | 2012-12-31 | $763,461 |
Interest on participant loans | 2012-12-31 | $42,092 |
Interest earned on other investments | 2012-12-31 | $751,660 |
Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2012-12-31 | $21,342,200 |
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2012-12-31 | $22,023,865 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2012-12-31 | $3,042,683 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2012-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2012-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-12-31 | $4,054,464 |
Contract administrator fees | 2012-12-31 | $3,534 |
Liabilities. Value of benefit claims payable at end of year | 2012-12-31 | $32,648 |
Liabilities. Value of benefit claims payable at beginning of year | 2012-12-31 | $56,085 |
Did the plan have assets held for investment | 2012-12-31 | No |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2012-12-31 | Disclaimer |
Accountancy firm name | 2012-12-31 | ERNST & YOUNG LLP |
Accountancy firm EIN | 2012-12-31 | 346565596 |
2011 : ALTA BATES SUMMIT 403(B) TDA RETIREMENT PLAN 2011 401k financial data |
---|
Total transfer of assets from this plan | 2011-12-31 | $5,262 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $56,085 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-12-31 | $27,000 |
Total income from all sources (including contributions) | 2011-12-31 | $435,127 |
Total of all expenses incurred | 2011-12-31 | $3,799,766 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-12-31 | $3,779,541 |
Expenses. Certain deemed distributions of participant loans | 2011-12-31 | $13,004 |
Value of total assets at end of year | 2011-12-31 | $54,901,325 |
Value of total assets at beginning of year | 2011-12-31 | $58,242,141 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $7,221 |
Total interest from all sources | 2011-12-31 | $822,549 |
Total dividends received (eg from common stock, registered investment company shares) | 2011-12-31 | $448,430 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2011-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2011-12-31 | $448,430 |
Was this plan covered by a fidelity bond | 2011-12-31 | Yes |
Value of fidelity bond cover | 2011-12-31 | $10,000,000 |
If this is an individual account plan, was there a blackout period | 2011-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2011-12-31 | No |
Participant contributions at end of year | 2011-12-31 | $965,153 |
Participant contributions at beginning of year | 2011-12-31 | $879,869 |
Administrative expenses (other) incurred | 2011-12-31 | $7,221 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
Value of net income/loss | 2011-12-31 | $-3,364,639 |
Value of net assets at end of year (total assets less liabilities) | 2011-12-31 | $54,845,240 |
Value of net assets at beginning of year (total assets less liabilities) | 2011-12-31 | $58,215,141 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2011-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2011-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2011-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2011-12-31 | $31,148,846 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2011-12-31 | $30,392,309 |
Value of interest in pooled separate accounts at end of year | 2011-12-31 | $763,461 |
Interest on participant loans | 2011-12-31 | $52,106 |
Interest earned on other investments | 2011-12-31 | $770,443 |
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2011-12-31 | $3,369,722 |
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2011-12-31 | $3,369,722 |
Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2011-12-31 | $22,023,865 |
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2011-12-31 | $23,600,241 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2011-12-31 | $-835,852 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2011-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2011-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-12-31 | $3,779,541 |
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2011-12-31 | No |
Liabilities. Value of benefit claims payable at end of year | 2011-12-31 | $56,085 |
Liabilities. Value of benefit claims payable at beginning of year | 2011-12-31 | $27,000 |
Did the plan have assets held for investment | 2011-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-12-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2011-12-31 | Disclaimer |
Accountancy firm name | 2011-12-31 | CROWE HORWATH LLP |
Accountancy firm EIN | 2011-12-31 | 350921680 |
2010 : ALTA BATES SUMMIT 403(B) TDA RETIREMENT PLAN 2010 401k financial data |
---|
Total transfer of assets from this plan | 2010-12-31 | $258,804 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2010-12-31 | $27,000 |
Total income from all sources (including contributions) | 2010-12-31 | $4,491,424 |
Total of all expenses incurred | 2010-12-31 | $2,929,051 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $2,871,100 |
Expenses. Certain deemed distributions of participant loans | 2010-12-31 | $50,626 |
Value of total assets at end of year | 2010-12-31 | $58,242,141 |
Value of total assets at beginning of year | 2010-12-31 | $56,911,572 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $7,325 |
Total interest from all sources | 2010-12-31 | $836,208 |
Total dividends received (eg from common stock, registered investment company shares) | 2010-12-31 | $353,056 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2010-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2010-12-31 | $353,056 |
Was this plan covered by a fidelity bond | 2010-12-31 | Yes |
Value of fidelity bond cover | 2010-12-31 | $10,000,000 |
If this is an individual account plan, was there a blackout period | 2010-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2010-12-31 | No |
Participant contributions at end of year | 2010-12-31 | $879,869 |
Participant contributions at beginning of year | 2010-12-31 | $811,200 |
Administrative expenses (other) incurred | 2010-12-31 | $7,325 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
Value of net income/loss | 2010-12-31 | $1,562,373 |
Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $58,215,141 |
Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $56,911,572 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2010-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2010-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2010-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2010-12-31 | $30,392,309 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2010-12-31 | $28,922,200 |
Interest on participant loans | 2010-12-31 | $47,984 |
Interest earned on other investments | 2010-12-31 | $787,229 |
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2010-12-31 | $3,369,722 |
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2010-12-31 | $3,702,676 |
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2010-12-31 | $3,702,676 |
Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2010-12-31 | $995 |
Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2010-12-31 | $23,600,241 |
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2010-12-31 | $23,475,496 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2010-12-31 | $3,302,160 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2010-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2010-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2010-12-31 | No |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2010-12-31 | $2,871,100 |
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2010-12-31 | No |
Liabilities. Value of benefit claims payable at end of year | 2010-12-31 | $27,000 |
Did the plan have assets held for investment | 2010-12-31 | Yes |
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser | 2010-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2010-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2010-12-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2010-12-31 | Disclaimer |
Accountancy firm name | 2010-12-31 | PERRY-SMITH, LLP |
Accountancy firm EIN | 2010-12-31 | 680041802 |
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 ) |
Policy contract number | VE0771 |
Policy instance | 2 |
Insurance contract or identification number | VE0771 | Number of Individuals Covered | 113 | Insurance policy start date | 2017-01-01 | Insurance policy end date | 2017-12-31 | Total amount of commissions paid to insurance broker | USD $4,885 | Total amount of fees paid to insurance company | USD $761 | Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | Yes | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $2,429 | Amount paid for insurance broker fees | 761 | Additional information about fees paid to insurance broker | SUPPLEMENTAL CASH PAID | Insurance broker organization code? | 3 | Insurance broker name | LINDA MACIOCI |
|
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 ) |
Policy contract number | 004633 |
Policy instance | 1 |
Insurance contract or identification number | 004633 | Number of Individuals Covered | 528 | Insurance policy start date | 2017-01-01 | Insurance policy end date | 2017-12-31 | Total amount of commissions paid to insurance broker | USD $0 | Total amount of fees paid to insurance company | USD $1,146 | Contracts With Unallocated Funds Deposit Administration | 1 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Amount paid for insurance broker fees | 1146 | Additional information about fees paid to insurance broker | SERVICES TO INSURER OR PLAN | Insurance broker organization code? | 3 | Insurance broker name | PRUCO SECURITIES CORPORATION |
|
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 ) |
Policy contract number | 004633 |
Policy instance | 1 |
Insurance contract or identification number | 004633 | Number of Individuals Covered | 317 | Insurance policy start date | 2015-01-01 | Insurance policy end date | 2015-12-31 | Total amount of commissions paid to insurance broker | USD $0 | Total amount of fees paid to insurance company | USD $1,208 | Contracts With Unallocated Funds Deposit Administration | 1 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Amount paid for insurance broker fees | 1208 | Additional information about fees paid to insurance broker | SERVICES TO INSURER OR PLAN | Insurance broker organization code? | 3 | Insurance broker name | PRUCO SECURITIES CORPORATION |
|
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 ) |
Policy contract number | FA068883 |
Policy instance | 2 |
Insurance contract or identification number | FA068883 | Number of Individuals Covered | 321 | Insurance policy start date | 2015-01-01 | Insurance policy end date | 2015-12-31 | Total amount of commissions paid to insurance broker | USD $15,245 | Total amount of fees paid to insurance company | USD $0 | Are there contracts with unallocated funds for contracts of type guaranteed investment? | Yes | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $15,245 | Insurance broker organization code? | 3 | Insurance broker name | WOODBURY FINANCIAL SERVICES |
|
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 ) |
Policy contract number | VE0771 |
Policy instance | 3 |
Insurance contract or identification number | VE0771 | Number of Individuals Covered | 142 | Insurance policy start date | 2015-01-01 | Insurance policy end date | 2015-12-31 | Total amount of commissions paid to insurance broker | USD $5,618 | 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 | Commission paid to Insurance Broker | USD $5,618 | Insurance broker organization code? | 3 | Insurance broker name | LINDA MACIOCI |
|
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 ) |
Policy contract number | 26001-071,072 |
Policy instance | 4 |
Insurance contract or identification number | 26001-071,072 | Number of Individuals Covered | 62 | Insurance policy start date | 2015-01-01 | Insurance policy end date | 2015-12-31 | Total amount of commissions paid to insurance broker | USD $0 | Total amount of fees paid to insurance company | USD $1,220 | Are there contracts with unallocated funds for contracts of type guaranteed investment? | Yes | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Amount paid for insurance broker fees | 1220 | Additional information about fees paid to insurance broker | OTHER FEES FOR SERVICE | Insurance broker organization code? | 3 | Insurance broker name | FIDELITY INSURANCE AGENCY |
|
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 ) |
Policy contract number | 26001-071,072 |
Policy instance | 4 |
Insurance contract or identification number | 26001-071,072 | Number of Individuals Covered | 83 | Insurance policy start date | 2014-01-01 | Insurance policy end date | 2014-12-31 | Total amount of commissions paid to insurance broker | USD $0 | Total amount of fees paid to insurance company | USD $1,336 | 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 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 | Amount paid for insurance broker fees | 1336 | Insurance broker organization code? | 3 | Insurance broker name | FIDELITY INSURANCE AGENCY |
|
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 ) |
Policy contract number | VE0771 |
Policy instance | 3 |
Insurance contract or identification number | VE0771 | Number of Individuals Covered | 154 | Insurance policy start date | 2014-01-01 | Insurance policy end date | 2014-12-31 | Total amount of commissions paid to insurance broker | USD $6,535 | Total amount of fees paid to insurance company | USD $0 | 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 contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | Yes | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $6,535 | Insurance broker organization code? | 3 | Insurance broker name | LINDA MACIOCI |
|
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 ) |
Policy contract number | FA068883 |
Policy instance | 2 |
Insurance contract or identification number | FA068883 | Number of Individuals Covered | 195 | Insurance policy start date | 2014-01-01 | Insurance policy end date | 2014-12-31 | Total amount of commissions paid to insurance broker | USD $16,275 | Total amount of fees paid to insurance company | USD $0 | 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 guaranteed investment? | Yes | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $16,275 | Insurance broker organization code? | 3 | Insurance broker name | WOODBURY FINANCIAL SERVICES |
|
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 ) |
Policy contract number | 004633 |
Policy instance | 1 |
Insurance contract or identification number | 004633 | Number of Individuals Covered | 611 | Insurance policy start date | 2014-01-01 | Insurance policy end date | 2014-12-31 | Total amount of commissions paid to insurance broker | USD $0 | Total amount of fees paid to insurance company | USD $0 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No |
|
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 ) |
Policy contract number | VE0771 |
Policy instance | 4 |
Insurance contract or identification number | VE0771 | Number of Individuals Covered | 166 | Insurance policy start date | 2013-01-01 | Insurance policy end date | 2013-12-31 | Total amount of commissions paid to insurance broker | USD $7,368 | Total amount of fees paid to insurance company | USD $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 plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | 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 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 $7,368 | Insurance broker organization code? | 3 | Insurance broker name | LINDA MACIOCI |
|
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 ) |
Policy contract number | 26001-071,072 |
Policy instance | 3 |
Insurance contract or identification number | 26001-071,072 | 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 $1,371 | 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 | Amount paid for insurance broker fees | 1371 | Additional information about fees paid to insurance broker | ADDITIONAL COMPENSATION | Insurance broker organization code? | 3 | Insurance broker name | FIDELITY INSURANCE AGENCY |
|
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 ) |
Policy contract number | FA068883 |
Policy instance | 1 |
Insurance contract or identification number | FA068883 | Number of Individuals Covered | 379 | Insurance policy start date | 2013-01-01 | Insurance policy end date | 2013-12-31 | Total amount of commissions paid to insurance broker | USD $10,916 | Total amount of fees paid to insurance company | USD $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 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? | Yes | Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | No | 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 $10,916 | Insurance broker organization code? | 3 | Insurance broker name | WOODBURY FINANCIAL SERVICES |
|
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 ) |
Policy contract number | 004633 |
Policy instance | 2 |
Insurance contract or identification number | 004633 | Number of Individuals Covered | 658 | 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 $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 plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | 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 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 |
|
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 ) |
Policy contract number | VE0771 |
Policy instance | 2 |
Insurance contract or identification number | VE0771 | Number of Individuals Covered | 179 | Insurance policy start date | 2012-01-01 | Insurance policy end date | 2012-12-31 | Total amount of commissions paid to insurance broker | USD $7,506 | Total amount of fees paid to insurance company | USD $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 plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | 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 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 |
|
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 ) |
Policy contract number | FA068883 |
Policy instance | 1 |
Insurance contract or identification number | FA068883 | Number of Individuals Covered | 407 | Insurance policy start date | 2012-01-01 | Insurance policy end date | 2012-12-31 | Total amount of commissions paid to insurance broker | USD $11,736 | Total amount of fees paid to insurance company | USD $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 plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | 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 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 |
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METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 ) |
Policy contract number | 26001-071,072 |
Policy instance | 3 |
Insurance contract or identification number | 26001-071,072 | 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 $1,495 | 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 |
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PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 ) |
Policy contract number | 004481 |
Policy instance | 4 |
Insurance contract or identification number | 004481 | Number of Individuals Covered | 678 | 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 $1,275 | 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 | 1 | 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 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 | 1275 | Additional information about fees paid to insurance broker | SERVICES TO INSURER OR PROVIDER | Insurance broker organization code? | 3 | Insurance broker name | PRUCO SECURITIES CORPORATION |
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METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 ) |
Policy contract number | 26001-071,072 |
Policy instance | 1 |
Insurance contract or identification number | 26001-071,072 | 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 $1,495 | 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 | Commission paid to Insurance Broker | USD $0 | Amount paid for insurance broker fees | 1495 | Additional information about fees paid to insurance broker | ADDITIONAL COMPENSATION | Insurance broker organization code? | 3 | Insurance broker name | FIDELITY INSURANCE AGENCY |
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TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 ) |
Policy contract number | FA068883 |
Policy instance | 2 |
Insurance contract or identification number | FA068883 | Number of Individuals Covered | 407 | Insurance policy start date | 2012-01-01 | Insurance policy end date | 2012-12-31 | Total amount of commissions paid to insurance broker | USD $11,736 | Total amount of fees paid to insurance company | USD $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 plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | 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 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 $11,736 | Amount paid for insurance broker fees | 0 | Additional information about fees paid to insurance broker | N/A | Insurance broker organization code? | 3 | Insurance broker name | WOODBURY FINANCIAL SERVICES |
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VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 ) |
Policy contract number | VE0771 |
Policy instance | 3 |
Insurance contract or identification number | VE0771 | Number of Individuals Covered | 179 | Insurance policy start date | 2012-01-01 | Insurance policy end date | 2012-12-31 | Total amount of commissions paid to insurance broker | USD $7,506 | Total amount of fees paid to insurance company | USD $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 plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | 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 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 | Commission paid to Insurance Broker | USD $7,506 | Insurance broker organization code? | 3 | Insurance broker name | LINDA MACIOCI |
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METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 ) |
Policy contract number | 26001-071/072 |
Policy instance | 4 |
Insurance contract or identification number | 26001-071/072 | Number of Individuals Covered | 894 | 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 $1,697 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No |
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VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 ) |
Policy contract number | VE0771 |
Policy instance | 3 |
Insurance contract or identification number | VE0771 | Number of Individuals Covered | 188 | Insurance policy start date | 2011-01-01 | Insurance policy end date | 2011-12-31 | Total amount of commissions paid to insurance broker | USD $7,730 | Total amount of fees paid to insurance company | USD $0 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No |
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TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 ) |
Policy contract number | FA068883 |
Policy instance | 2 |
Insurance contract or identification number | FA068883 | Number of Individuals Covered | 438 | Insurance policy start date | 2011-01-01 | Insurance policy end date | 2011-12-31 | Total amount of commissions paid to insurance broker | USD $12,401 | Total amount of fees paid to insurance company | USD $0 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No |
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PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 ) |
Policy contract number | 4481 |
Policy instance | 1 |
Insurance contract or identification number | 4481 | Number of Individuals Covered | 706 | 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 $1,282 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No |
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METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 ) |
Policy contract number | 26001-071/072 |
Policy instance | 4 |
Insurance contract or identification number | 26001-071/072 | Number of Individuals Covered | 929 | 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 $1,758 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Amount paid for insurance broker fees | 1758 | Insurance broker organization code? | 3 | Insurance broker name | FIDELITY INSURANCE AGENCY |
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VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 ) |
Policy contract number | VE0771 |
Policy instance | 3 |
Insurance contract or identification number | VE0771 | Number of Individuals Covered | 187 | Insurance policy start date | 2010-01-01 | Insurance policy end date | 2010-12-31 | Total amount of commissions paid to insurance broker | USD $7,628 | Total amount of fees paid to insurance company | USD $86 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $7,628 | Amount paid for insurance broker fees | 86 | Additional information about fees paid to insurance broker | SUPPLEMENTAL CASH PAID | Insurance broker organization code? | 3 | Insurance broker name | LINDA MACIOCI |
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TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 ) |
Policy contract number | FA068883 |
Policy instance | 2 |
Insurance contract or identification number | FA068883 | Number of Individuals Covered | 471 | Insurance policy start date | 2010-01-01 | Insurance policy end date | 2010-12-31 | Total amount of commissions paid to insurance broker | USD $12,600 | Total amount of fees paid to insurance company | USD $0 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Commission paid to Insurance Broker | USD $12,600 | Insurance broker organization code? | 3 | Insurance broker name | WOODBURY FINANCIAL SERVICES, INC. |
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PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 ) |
Policy contract number | 004633 |
Policy instance | 1 |
Insurance contract or identification number | 004633 | Number of Individuals Covered | 717 | 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 $1,309 | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | Contracts With Unallocated Funds Deposit Administration | 1 | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | Amount paid for insurance broker fees | 1309 | Additional information about fees paid to insurance broker | SERVICES TO INSURER OR PLAN | Insurance broker organization code? | 3 | Insurance broker name | PRUCO SECURITIES CORPORATION |
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