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BANC OF CALIFORNIA, INC. 401(K) PLAN 401k Plan overview

Plan NameBANC OF CALIFORNIA, INC. 401(K) PLAN
Plan identification number 002

BANC OF CALIFORNIA, INC. 401(K) 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.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • 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.

401k Sponsoring company profile

BANC OF CALIFORNIA, N.A. has sponsored the creation of one or more 401k plans.

Company Name:BANC OF CALIFORNIA, N.A.
Employer identification number (EIN):956047013
NAIC Classification:522130
NAIC Description:Credit Unions

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BANC OF CALIFORNIA, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022022-01-01
0022021-01-01
0022020-01-01
0022019-01-01
0022018-01-01
0022017-01-01IAN SALISBURY
0022016-01-01IAN SALISBURY
0022015-01-01
0022014-01-01ANJANETTE VALENTA
0022013-01-01ANJANETTE VALENTA

Plan Statistics for BANC OF CALIFORNIA, INC. 401(K) PLAN

401k plan membership statisitcs for BANC OF CALIFORNIA, INC. 401(K) PLAN

Measure Date Value
2022: BANC OF CALIFORNIA, INC. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-011,158
Total number of active participants reported on line 7a of the Form 55002022-01-01715
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-01428
Total of all active and inactive participants2022-01-011,143
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-012
Total participants2022-01-011,145
Number of participants with account balances2022-01-011,101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: BANC OF CALIFORNIA, INC. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-011,075
Total number of active participants reported on line 7a of the Form 55002021-01-01703
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-01426
Total of all active and inactive participants2021-01-011,129
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-011
Total participants2021-01-011,130
Number of participants with account balances2021-01-011,051
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: BANC OF CALIFORNIA, INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-011,108
Total number of active participants reported on line 7a of the Form 55002020-01-01621
Number of retired or separated participants receiving benefits2020-01-01416
Number of other retired or separated participants entitled to future benefits2020-01-010
Total of all active and inactive participants2020-01-011,037
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-011,037
Number of participants with account balances2020-01-01922
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: BANC OF CALIFORNIA, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-011,149
Total number of active participants reported on line 7a of the Form 55002019-01-01621
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-01490
Total of all active and inactive participants2019-01-011,111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-011,111
Number of participants with account balances2019-01-01934
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: BANC OF CALIFORNIA, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-011,188
Total number of active participants reported on line 7a of the Form 55002018-01-01662
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-01462
Total of all active and inactive participants2018-01-011,124
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-011,124
Number of participants with account balances2018-01-01931
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: BANC OF CALIFORNIA, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-012,006
Total number of active participants reported on line 7a of the Form 55002017-01-01669
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-01478
Total of all active and inactive participants2017-01-011,147
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-011,147
Number of participants with account balances2017-01-01940
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: BANC OF CALIFORNIA, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-011,854
Total number of active participants reported on line 7a of the Form 55002016-01-011,592
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-01358
Total of all active and inactive participants2016-01-011,950
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-011,950
Number of participants with account balances2016-01-011,367
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: BANC OF CALIFORNIA, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-011,421
Total number of active participants reported on line 7a of the Form 55002015-01-011,555
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-010
Total of all active and inactive participants2015-01-011,555
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-011,555
Number of participants with account balances2015-01-011,182
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: BANC OF CALIFORNIA, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01885
Total number of active participants reported on line 7a of the Form 55002014-01-011,297
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01124
Total of all active and inactive participants2014-01-011,421
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-011,421
Number of participants with account balances2014-01-01980
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: BANC OF CALIFORNIA, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01430
Total number of active participants reported on line 7a of the Form 55002013-01-01885
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-010
Total of all active and inactive participants2013-01-01885
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01885
Number of participants with account balances2013-01-01667
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010

Financial Data on BANC OF CALIFORNIA, INC. 401(K) PLAN

Measure Date Value
2022 : BANC OF CALIFORNIA, INC. 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-1,066,712
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$6,571,434
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$6,385,517
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$10,592,351
Value of total assets at end of year2022-12-31$62,023,142
Value of total assets at beginning of year2022-12-31$69,661,288
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$185,917
Total interest from all sources2022-12-31$65,080
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$332,314
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$332,314
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$5,878,808
Participant contributions at end of year2022-12-31$756,745
Participant contributions at beginning of year2022-12-31$972,812
Participant contributions at end of year2022-12-31$1,125
Participant contributions at beginning of year2022-12-31$2,010
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$1,874,839
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2022-12-31$2,294
Total non interest bearing cash at end of year2022-12-31$0
Total non interest bearing cash at beginning of year2022-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-7,638,146
Value of net assets at end of year (total assets less liabilities)2022-12-31$62,023,142
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$69,661,288
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$17,182,410
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$18,582,673
Value of interest in pooled separate accounts at end of year2022-12-31$795,271
Value of interest in pooled separate accounts at beginning of year2022-12-31$910,763
Interest on participant loans2022-12-31$44,772
Interest earned on other investments2022-12-31$20,299
Value of interest in common/collective trusts at end of year2022-12-31$40,915,935
Value of interest in common/collective trusts at beginning of year2022-12-31$47,755,605
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2022-12-31$876,256
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2022-12-31$774,857
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2022-12-31$774,857
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2022-12-31$9
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$1,494,501
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$660,975
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-3,783,474
Net investment gain/loss from pooled separate accounts2022-12-31$-147,128
Net investment gain or loss from common/collective trusts2022-12-31$-8,125,855
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31Yes
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$2,838,704
Employer contributions (assets) at end of year2022-12-31$899
Employer contributions (assets) at beginning of year2022-12-31$1,593
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$6,383,223
Contract administrator fees2022-12-31$185,917
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31PENSION ASSURANCE LLP
Accountancy firm EIN2022-12-31300840934
2021 : BANC OF CALIFORNIA, INC. 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$23,827,733
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$7,433,273
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$7,250,646
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$15,093,389
Value of total assets at end of year2021-12-31$69,661,288
Value of total assets at beginning of year2021-12-31$53,266,828
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$182,627
Total interest from all sources2021-12-31$52,824
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$234,382
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$234,382
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$4,961,002
Participant contributions at end of year2021-12-31$972,812
Participant contributions at beginning of year2021-12-31$855,500
Participant contributions at end of year2021-12-31$2,010
Participant contributions at beginning of year2021-12-31$658
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$7,816,890
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2021-12-31$1,025
Other income not declared elsewhere2021-12-31$9,027
Total non interest bearing cash at end of year2021-12-31$0
Total non interest bearing cash at beginning of year2021-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$16,394,460
Value of net assets at end of year (total assets less liabilities)2021-12-31$69,661,288
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$53,266,828
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$18,582,673
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$12,055,175
Value of interest in pooled separate accounts at end of year2021-12-31$910,763
Value of interest in pooled separate accounts at beginning of year2021-12-31$344,550
Interest on participant loans2021-12-31$41,542
Interest earned on other investments2021-12-31$11,282
Value of interest in common/collective trusts at end of year2021-12-31$47,755,605
Value of interest in common/collective trusts at beginning of year2021-12-31$37,501,342
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2021-12-31$774,857
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2021-12-31$1,477,351
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2021-12-31$1,477,351
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$660,975
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$1,031,907
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$2,459,092
Net investment gain/loss from pooled separate accounts2021-12-31$120,823
Net investment gain or loss from common/collective trusts2021-12-31$5,858,196
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31Yes
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$2,315,497
Employer contributions (assets) at end of year2021-12-31$1,593
Employer contributions (assets) at beginning of year2021-12-31$345
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$7,249,621
Contract administrator fees2021-12-31$182,627
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31PENSION ASSURANCE LLP
Accountancy firm EIN2021-12-31300840934
2020 : BANC OF CALIFORNIA, INC. 401(K) PLAN 2020 401k financial data
Unrealized appreciation/depreciation of real estate assets2020-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2020-12-31$0
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$15,095,780
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$6,990,649
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$6,848,033
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$8,166,447
Value of total assets at end of year2020-12-31$53,266,828
Value of total assets at beginning of year2020-12-31$45,161,697
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$142,616
Total interest from all sources2020-12-31$62,424
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$172,366
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$172,366
Administrative expenses professional fees incurred2020-12-31$0
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$4,322,231
Participant contributions at end of year2020-12-31$855,500
Participant contributions at beginning of year2020-12-31$789,301
Participant contributions at end of year2020-12-31$658
Participant contributions at beginning of year2020-12-31$3,004
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$1,734,330
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2020-12-31$23,511
Other income not declared elsewhere2020-12-31$4,856
Administrative expenses (other) incurred2020-12-31$0
Total non interest bearing cash at end of year2020-12-31$0
Total non interest bearing cash at beginning of year2020-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$8,105,131
Value of net assets at end of year (total assets less liabilities)2020-12-31$53,266,828
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$45,161,697
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$12,055,175
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$9,157,359
Value of interest in pooled separate accounts at end of year2020-12-31$344,550
Value of interest in pooled separate accounts at beginning of year2020-12-31$388,823
Interest on participant loans2020-12-31$41,887
Income. Interest from loans (other than to participants)2020-12-31$0
Interest earned on other investments2020-12-31$17,491
Income. Interest from US Government securities2020-12-31$0
Income. Interest from corporate debt instruments2020-12-31$0
Value of interest in common/collective trusts at end of year2020-12-31$37,501,342
Value of interest in common/collective trusts at beginning of year2020-12-31$33,660,125
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2020-12-31$1,477,351
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2020-12-31$257,078
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2020-12-31$257,078
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2020-12-31$3,046
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$1,031,907
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$904,135
Expenses. Payments to insurance carriers foe the provision of benefits2020-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$1,684,985
Net investment gain/loss from pooled separate accounts2020-12-31$37,142
Net investment gain or loss from common/collective trusts2020-12-31$4,967,560
Net gain/loss from 103.12 investment entities2020-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31Yes
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$2,109,886
Employer contributions (assets) at end of year2020-12-31$345
Employer contributions (assets) at beginning of year2020-12-31$1,872
Income. Dividends from preferred stock2020-12-31$0
Income. Dividends from common stock2020-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$6,824,522
Contract administrator fees2020-12-31$142,616
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Aggregate proceeds on sale of assets2020-12-31$0
Aggregate carrying amount (costs) on sale of assets2020-12-31$0
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31PENSION ASSURANCE LLP
Accountancy firm EIN2020-12-31300840934
2019 : BANC OF CALIFORNIA, INC. 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$16,488,607
Total income from all sources (including contributions)2019-12-31$16,488,607
Total loss/gain on sale of assets2019-12-31$0
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$11,090,587
Total of all expenses incurred2019-12-31$11,090,587
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$10,951,213
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$10,951,213
Value of total corrective distributions2019-12-31$941
Value of total corrective distributions2019-12-31$941
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$8,071,665
Value of total assets at end of year2019-12-31$45,161,697
Value of total assets at end of year2019-12-31$45,161,697
Value of total assets at beginning of year2019-12-31$39,763,677
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$138,433
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$138,433
Total interest from all sources2019-12-31$65,982
Total interest from all sources2019-12-31$65,982
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$185,628
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$185,628
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$185,628
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$185,628
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$4,235,825
Contributions received from participants2019-12-31$4,235,825
Participant contributions at end of year2019-12-31$789,301
Participant contributions at beginning of year2019-12-31$882,705
Participant contributions at end of year2019-12-31$3,004
Participant contributions at beginning of year2019-12-31$429
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$1,711,834
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2019-12-31$575
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2019-12-31$575
Other income not declared elsewhere2019-12-31$937
Other income not declared elsewhere2019-12-31$937
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$5,398,020
Value of net income/loss2019-12-31$5,398,020
Value of net assets at end of year (total assets less liabilities)2019-12-31$45,161,697
Value of net assets at end of year (total assets less liabilities)2019-12-31$45,161,697
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$39,763,677
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$9,157,359
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$9,157,359
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$7,222,155
Value of interest in pooled separate accounts at end of year2019-12-31$388,823
Value of interest in pooled separate accounts at beginning of year2019-12-31$384,275
Interest on participant loans2019-12-31$43,379
Interest on participant loans2019-12-31$43,379
Interest earned on other investments2019-12-31$19,649
Value of interest in common/collective trusts at end of year2019-12-31$33,660,125
Value of interest in common/collective trusts at beginning of year2019-12-31$29,351,845
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2019-12-31$257,078
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2019-12-31$406,893
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2019-12-31$406,893
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-12-31$2,954
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$904,135
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$904,135
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$1,515,232
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$1,716,812
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$1,716,812
Net investment gain/loss from pooled separate accounts2019-12-31$74,194
Net investment gain/loss from pooled separate accounts2019-12-31$74,194
Net investment gain or loss from common/collective trusts2019-12-31$6,373,389
Net investment gain or loss from common/collective trusts2019-12-31$6,373,389
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31Yes
Was there a failure to transmit to the plan any participant contributions2019-12-31Yes
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$2,124,006
Employer contributions (assets) at end of year2019-12-31$1,872
Employer contributions (assets) at beginning of year2019-12-31$143
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$10,950,638
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$10,950,638
Contract administrator fees2019-12-31$138,433
Contract administrator fees2019-12-31$138,433
Did the plan have assets held for investment2019-12-31Yes
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31PENSION ASSURANCE LLP
Accountancy firm EIN2019-12-31300840934
Accountancy firm EIN2019-12-31300840934
2018 : BANC OF CALIFORNIA, INC. 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$6,442,842
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$10,061,043
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$9,928,278
Value of total corrective distributions2018-12-31$501
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$9,240,431
Value of total assets at end of year2018-12-31$39,763,677
Value of total assets at beginning of year2018-12-31$43,381,878
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$132,264
Total interest from all sources2018-12-31$61,586
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$160,737
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$160,737
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$4,188,298
Participant contributions at end of year2018-12-31$882,705
Participant contributions at beginning of year2018-12-31$808,595
Participant contributions at end of year2018-12-31$429
Participant contributions at beginning of year2018-12-31$127,195
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$2,974,299
Other income not declared elsewhere2018-12-31$504
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-3,618,201
Value of net assets at end of year (total assets less liabilities)2018-12-31$39,763,677
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$43,381,878
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$7,222,155
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$7,279,742
Value of interest in pooled separate accounts at end of year2018-12-31$384,275
Value of interest in pooled separate accounts at beginning of year2018-12-31$294,217
Interest on participant loans2018-12-31$41,310
Interest earned on other investments2018-12-31$18,046
Value of interest in common/collective trusts at end of year2018-12-31$29,351,845
Value of interest in common/collective trusts at beginning of year2018-12-31$34,334,257
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2018-12-31$406,893
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2018-12-31$178,396
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2018-12-31$178,396
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2018-12-31$2,230
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$1,515,232
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$297,395
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-646,366
Net investment gain/loss from pooled separate accounts2018-12-31$-47,827
Net investment gain or loss from common/collective trusts2018-12-31$-2,326,223
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31Yes
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$2,077,834
Employer contributions (assets) at end of year2018-12-31$143
Employer contributions (assets) at beginning of year2018-12-31$62,081
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$9,928,278
Contract administrator fees2018-12-31$132,264
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31No
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31PENSION ASSURANCE LLP
Accountancy firm EIN2018-12-31300840934
2017 : BANC OF CALIFORNIA, INC. 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$20,424,617
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$27,532,009
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$26,352,186
Expenses. Certain deemed distributions of participant loans2017-12-31$1,006,929
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$12,966,089
Value of total assets at end of year2017-12-31$43,381,878
Value of total assets at beginning of year2017-12-31$50,489,270
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$172,894
Total interest from all sources2017-12-31$64,103
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$154,020
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$154,020
Administrative expenses professional fees incurred2017-12-31$172,894
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$6,278,996
Participant contributions at end of year2017-12-31$808,595
Participant contributions at beginning of year2017-12-31$1,846,052
Participant contributions at end of year2017-12-31$127,195
Participant contributions at beginning of year2017-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$3,542,139
Other income not declared elsewhere2017-12-31$105,883
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$-7,107,392
Value of net assets at end of year (total assets less liabilities)2017-12-31$43,381,878
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$50,489,270
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$7,279,742
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$4,941,546
Value of interest in pooled separate accounts at end of year2017-12-31$294,217
Value of interest in pooled separate accounts at beginning of year2017-12-31$393,760
Interest on participant loans2017-12-31$56,573
Interest earned on other investments2017-12-31$6,038
Value of interest in common/collective trusts at end of year2017-12-31$34,334,257
Value of interest in common/collective trusts at beginning of year2017-12-31$42,808,910
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$178,396
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-12-31$190,819
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-12-31$190,819
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$1,492
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$297,395
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$308,183
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$924,153
Net investment gain/loss from pooled separate accounts2017-12-31$37,237
Net investment gain or loss from common/collective trusts2017-12-31$6,173,132
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31Yes
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$3,144,954
Employer contributions (assets) at end of year2017-12-31$62,081
Employer contributions (assets) at beginning of year2017-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$26,352,186
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31No
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31LAVINE, LOFGREN, MORRIS & ENGELBERG
Accountancy firm EIN2017-12-31330690020
2016 : BANC OF CALIFORNIA, INC. 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$17,225,487
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$5,673,789
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$5,618,671
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$14,160,184
Value of total assets at end of year2016-12-31$50,489,270
Value of total assets at beginning of year2016-12-31$38,937,572
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$55,118
Total interest from all sources2016-12-31$79,607
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$36,041
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$36,041
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31Yes
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$7,556,621
Participant contributions at end of year2016-12-31$1,846,052
Participant contributions at beginning of year2016-12-31$1,638,703
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$2,737,054
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$11,551,698
Value of net assets at end of year (total assets less liabilities)2016-12-31$50,489,270
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$38,937,572
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$4,941,546
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$0
Value of interest in pooled separate accounts at end of year2016-12-31$393,760
Value of interest in pooled separate accounts at beginning of year2016-12-31$37,286,047
Interest on participant loans2016-12-31$74,939
Interest earned on other investments2016-12-31$4,582
Value of interest in common/collective trusts at end of year2016-12-31$42,808,910
Value of interest in common/collective trusts at beginning of year2016-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$190,819
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$12,822
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$12,822
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-12-31$86
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$308,183
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$64,669
Net investment gain/loss from pooled separate accounts2016-12-31$1,820,661
Net investment gain or loss from common/collective trusts2016-12-31$1,064,325
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$3,866,509
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$5,618,671
Contract administrator fees2016-12-31$55,118
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-31Yes
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 name2016-12-31LAVINE, LOFGREN, MORRIS & ENGELBERG
Accountancy firm EIN2016-12-31330690020
2015 : BANC OF CALIFORNIA, INC. 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$11,933,570
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$4,479,149
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$4,316,755
Expenses. Certain deemed distributions of participant loans2015-12-31$132,406
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$12,576,760
Value of total assets at end of year2015-12-31$38,937,572
Value of total assets at beginning of year2015-12-31$31,483,151
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$29,988
Total interest from all sources2015-12-31$60,789
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
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$6,424,217
Participant contributions at end of year2015-12-31$1,638,703
Participant contributions at beginning of year2015-12-31$1,206,409
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$2,622,480
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$0
Administrative expenses (other) incurred2015-12-31$3,310
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$7,454,421
Value of net assets at end of year (total assets less liabilities)2015-12-31$38,937,572
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$31,483,151
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$37,286,047
Value of interest in pooled separate accounts at beginning of year2015-12-31$30,265,483
Interest on participant loans2015-12-31$60,789
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$12,822
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$11,259
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$11,259
Net investment gain/loss from pooled separate accounts2015-12-31$-703,979
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$3,530,063
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$4,316,755
Contract administrator fees2015-12-31$26,678
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 name2015-12-31LAVINE, LOFGREN, MORRIS & ENGELBERG
Accountancy firm EIN2015-12-31330690020
2014 : BANC OF CALIFORNIA, INC. 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total transfer of assets to this plan2014-12-31$361,114
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$10,960,925
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$5,594,123
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$5,304,011
Expenses. Certain deemed distributions of participant loans2014-12-31$255,982
Value of total corrective distributions2014-12-31$4,310
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$9,815,302
Value of total assets at end of year2014-12-31$31,483,151
Value of total assets at beginning of year2014-12-31$25,755,235
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$29,820
Total interest from all sources2014-12-31$40,808
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$0
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
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$4,611,821
Participant contributions at end of year2014-12-31$1,206,409
Participant contributions at beginning of year2014-12-31$765,046
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$2,645,242
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$2,590
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$5,366,802
Value of net assets at end of year (total assets less liabilities)2014-12-31$31,483,151
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$25,755,235
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
Investment advisory and management fees2014-12-31$2,340
Value of interest in pooled separate accounts at end of year2014-12-31$30,265,483
Value of interest in pooled separate accounts at beginning of year2014-12-31$23,864,540
Interest on participant loans2014-12-31$40,808
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$11,259
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$1,123,059
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$1,123,059
Net investment gain/loss from pooled separate accounts2014-12-31$1,104,815
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$2,558,239
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$5,304,011
Contract administrator fees2014-12-31$27,480
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 name2014-12-31LAVINE, LOFGREN, MORRIS & ENGELBERG
Accountancy firm EIN2014-12-31330690020
2013 : BANC OF CALIFORNIA, INC. 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total transfer of assets to this plan2013-12-31$19,909,756
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$7,885,099
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$2,039,620
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$2,020,304
Value of total corrective distributions2013-12-31$2,444
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$5,407,293
Value of total assets at end of year2013-12-31$25,755,235
Value of total assets at beginning of year2013-12-31$0
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$16,872
Total interest from all sources2013-12-31$31,847
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$131
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$131
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
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$2,919,572
Participant contributions at end of year2013-12-31$765,046
Participant contributions at beginning of year2013-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$886,931
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$2,590
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$5,845,479
Value of net assets at end of year (total assets less liabilities)2013-12-31$25,755,235
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$0
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
Investment advisory and management fees2013-12-31$1,792
Value of interest in pooled separate accounts at end of year2013-12-31$23,864,540
Value of interest in pooled separate accounts at beginning of year2013-12-31$0
Interest on participant loans2013-12-31$31,847
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$1,123,059
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$0
Net investment gain/loss from pooled separate accounts2013-12-31$2,445,828
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$1,600,790
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$2,020,304
Contract administrator fees2013-12-31$15,080
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 name2013-12-31LAVINE, LOFGREN, MORRIS & ENGELBERG
Accountancy firm EIN2013-12-31330690020

Form 5500 Responses for BANC OF CALIFORNIA, INC. 401(K) PLAN

2022: BANC OF CALIFORNIA, INC. 401(K) PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: BANC OF CALIFORNIA, INC. 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: BANC OF CALIFORNIA, INC. 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: BANC OF CALIFORNIA, INC. 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: BANC OF CALIFORNIA, INC. 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: BANC OF CALIFORNIA, INC. 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: BANC OF CALIFORNIA, INC. 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: BANC OF CALIFORNIA, INC. 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: BANC OF CALIFORNIA, INC. 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: BANC OF CALIFORNIA, INC. 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01First time form 5500 has been submittedYes
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 – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered1151
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $423
Are there contracts with allocated funds for individual policies?0
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?Yes
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 $0
Amount paid for insurance broker fees423
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number528887
Policy instance 2
Insurance contract or identification number528887
Number of Individuals Covered1151
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $266
Are there contracts with allocated funds for individual policies?0
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 $0
Amount paid for insurance broker fees266
Additional information about fees paid to insurance brokerREFERRAL / SERVICE FEE
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered1151
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $346
Are there contracts with allocated funds for individual policies?0
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?Yes
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 $0
Amount paid for insurance broker fees346
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number528887
Policy instance 2
Insurance contract or identification number528887
Number of Individuals Covered1064
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $155
Are there contracts with allocated funds for individual policies?0
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 $0
Amount paid for insurance broker fees155
Additional information about fees paid to insurance brokerREFERRAL / SERVICE FEE
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered1064
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $479
Are there contracts with allocated funds for individual policies?0
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?Yes
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 $0
Amount paid for insurance broker fees479
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered1104
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $585
Are there contracts with allocated funds for individual policies?0
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?Yes
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
Amount paid for insurance broker fees585
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered1133
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $405
Are there contracts with allocated funds for individual policies?0
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?Yes
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
Amount paid for insurance broker fees405
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered1152
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
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?Yes
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
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number51722
Policy instance 1
Insurance contract or identification number51722
Number of Individuals Covered1245
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $108,398
Total amount of fees paid to insurance companyUSD $100,299
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?Yes
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 $108,398
Insurance broker organization code?1
Amount paid for insurance broker fees94055
Additional information about fees paid to insurance brokerTPA FEES
Insurance broker nameBANC OF CALIFORNIA, INC.
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number51722
Policy instance 1
Insurance contract or identification number51722
Number of Individuals Covered1058
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $94,904
Total amount of fees paid to insurance companyUSD $82,455
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?Yes
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 $94,904
Insurance broker organization code?1
Amount paid for insurance broker fees82455
Additional information about fees paid to insurance brokerTPA FEES
Insurance broker nameBENEFIT EQUITY INC
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number51722
Policy instance 1
Insurance contract or identification number51722
Number of Individuals Covered781
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $66,566
Total amount of fees paid to insurance companyUSD $46,368
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 $66,566
Insurance broker organization code?1
Amount paid for insurance broker fees46368
Additional information about fees paid to insurance brokerTPA FEES
Insurance broker nameBENEFIT EQUITY INC

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