401k Plan data: THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST plan

THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST 401k Plan overview

Plan Name	THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST
Plan identification number	333

THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
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

RETAIL ASSOCIATION OF MAINE 401K PL has sponsored the creation of one or more 401k plans.

Company Name: RETAIL ASSOCIATION OF MAINE 401K PL

Employer identification number (EIN): 010165117

NAIC Classification: 561300

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
333 2022-01-01
333 2021-01-01
333 2020-01-01
333 2020-01-01

Plan Statistics for THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST

401k plan membership statisitcs for THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST

Measure Date Value
2022: THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST 2022 401k membership
Total participants, beginning-of-year 2022-01-01 3,869
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 4,383
Number of retired or separated participants receiving benefits 2022-01-01 9
Number of other retired or separated participants entitled to future benefits 2022-01-01 319
Total of all active and inactive participants 2022-01-01 4,711
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 4,711
Number of participants with account balances 2022-01-01 1,023
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 30
2021: THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST 2021 401k membership
Total participants, beginning-of-year 2021-01-01 3,629
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 3,490
Number of retired or separated participants receiving benefits 2021-01-01 86
Number of other retired or separated participants entitled to future benefits 2021-01-01 293
Total of all active and inactive participants 2021-01-01 3,869
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 3,869
Number of participants with account balances 2021-01-01 1,641
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 67
2020: THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST 2020 401k membership
Total participants, beginning-of-year 2020-01-01 637
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 583
Number of retired or separated participants receiving benefits 2020-01-01 1
Number of other retired or separated participants entitled to future benefits 2020-01-01 64
Total of all active and inactive participants 2020-01-01 648
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 648
Number of participants with account balances 2020-01-01 291
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 7

Measure	Date	Value
2022: THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST 2022 401k membership
Total participants, beginning-of-year	2022-01-01	3,869
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	4,383
Number of retired or separated participants receiving benefits	2022-01-01	9
Number of other retired or separated participants entitled to future benefits	2022-01-01	319
Total of all active and inactive participants	2022-01-01	4,711
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	4,711
Number of participants with account balances	2022-01-01	1,023
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	30
2021: THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST 2021 401k membership
Total participants, beginning-of-year	2021-01-01	3,629
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	3,490
Number of retired or separated participants receiving benefits	2021-01-01	86
Number of other retired or separated participants entitled to future benefits	2021-01-01	293
Total of all active and inactive participants	2021-01-01	3,869
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	3,869
Number of participants with account balances	2021-01-01	1,641
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	67
2020: THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST 2020 401k membership
Total participants, beginning-of-year	2020-01-01	637
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	583
Number of retired or separated participants receiving benefits	2020-01-01	1
Number of other retired or separated participants entitled to future benefits	2020-01-01	64
Total of all active and inactive participants	2020-01-01	648
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	648
Number of participants with account balances	2020-01-01	291
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	7

Financial Data on THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST

Measure	Date	Value
2022 : THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST 2022 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2022-12-31	$6,000
Total unrealized appreciation/depreciation of assets	2022-12-31	$6,000
Total transfer of assets to this plan	2022-12-31	$5,201,635
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$71,662
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$146,478
Total income from all sources (including contributions)	2022-12-31	$945,086
Total loss/gain on sale of assets	2022-12-31	$-7,498,644
Total of all expenses incurred	2022-12-31	$6,351,071
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$5,828,740
Expenses. Certain deemed distributions of participant loans	2022-12-31	$39,241
Value of total corrective distributions	2022-12-31	$71,662
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$8,413,412
Value of total assets at end of year	2022-12-31	$46,987,670
Value of total assets at beginning of year	2022-12-31	$47,266,836
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$411,428
Total interest from all sources	2022-12-31	$24,318
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$5,086,805
Participant contributions at end of year	2022-12-31	$551,604
Participant contributions at beginning of year	2022-12-31	$430,383
Participant contributions at end of year	2022-12-31	$212,232
Participant contributions at beginning of year	2022-12-31	$54,231
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$1,936,930
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2022-12-31	$71,662
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2022-12-31	$146,478
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-5,405,985
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$46,916,008
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$47,120,358
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in pooled separate accounts at end of year	2022-12-31	$45,439,462
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$46,173,482
Interest on participant loans	2022-12-31	$24,318
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$666,911
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$418,079
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$1,389,677
Employer contributions (assets) at end of year	2022-12-31	$117,461
Employer contributions (assets) at beginning of year	2022-12-31	$190,661
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$5,828,740
Contract administrator fees	2022-12-31	$411,428
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Aggregate proceeds on sale of assets	2022-12-31	$-7,498,644
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	TEMPLETON & CO.
Accountancy firm EIN	2022-12-31	141918990
2021 : THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total transfer of assets to this plan	2021-12-31	$20,101,491
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	$50,968
Total income from all sources (including contributions)	2021-12-31	$7,270,649
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$4,750,591
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$4,586,761
Expenses. Certain deemed distributions of participant loans	2021-12-31	$39,303
Value of total corrective distributions	2021-12-31	$1,488
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$3,052,751
Value of total assets at end of year	2021-12-31	$46,959,365
Value of total assets at beginning of year	2021-12-31	$24,388,784
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$162,342
Total interest from all sources	2021-12-31	$11,918
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$2,381,546
Participant contributions at end of year	2021-12-31	$415,602
Participant contributions at beginning of year	2021-12-31	$106,852
Participant contributions at end of year	2021-12-31	$54,231
Participant contributions at beginning of year	2021-12-31	$73,587
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$56,891
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2021-12-31	$146,478
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2021-12-31	$50,968
Administrative expenses (other) incurred	2021-12-31	$69,137
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$2,520,058
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$46,959,365
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$24,337,816
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Investment advisory and management fees	2021-12-31	$93,205
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$46,125,684
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$23,742,932
Interest on participant loans	2021-12-31	$11,918
Value of interest in common/collective trusts at beginning of year	2021-12-31	$68,275
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$418,079
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$386,456
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$4,205,980
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$614,314
Employer contributions (assets) at end of year	2021-12-31	$190,661
Employer contributions (assets) at beginning of year	2021-12-31	$10,682
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$4,586,761
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	D'ARCANGELO & CO., LLP
Accountancy firm EIN	2021-12-31	132550103
2020 : THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total transfer of assets to this plan	2020-12-31	$7,483,155
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$50,968
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$1,751
Total income from all sources (including contributions)	2020-12-31	$6,138,271
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$2,319,398
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$2,172,629
Expenses. Certain deemed distributions of participant loans	2020-12-31	$14,546
Value of total corrective distributions	2020-12-31	$50,968
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,336,906
Value of total assets at end of year	2020-12-31	$24,388,784
Value of total assets at beginning of year	2020-12-31	$13,037,539
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$81,255
Total interest from all sources	2020-12-31	$6,232
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$31,262
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$31,262
Administrative expenses professional fees incurred	2020-12-31	$81,255
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$1,019,229
Participant contributions at end of year	2020-12-31	$106,852
Participant contributions at beginning of year	2020-12-31	$38,011
Participant contributions at end of year	2020-12-31	$73,587
Participant contributions at beginning of year	2020-12-31	$4,396
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$6,367
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2020-12-31	$50,968
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2020-12-31	$1,751
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$3,818,873
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$24,337,816
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$13,035,788
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$23,742,932
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$12,905,091
Interest on participant loans	2020-12-31	$6,232
Value of interest in common/collective trusts at end of year	2020-12-31	$68,275
Value of interest in common/collective trusts at beginning of year	2020-12-31	$66,852
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$386,456
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$22,045
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$4,763,871
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$311,310
Employer contributions (assets) at end of year	2020-12-31	$10,682
Employer contributions (assets) at beginning of year	2020-12-31	$1,144
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$2,172,629
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	D'ARCANGELO & CO., LLP
Accountancy firm EIN	2020-12-31	132550103

Form 5500 Responses for THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST

2022: THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST 2022 form 5500 responses
2022-01-01	Type of plan entity	Mulitple employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST 2021 form 5500 responses
2021-01-01	Type of plan entity	Mulitple employer plan
2021-01-01	Submission has been amended	Yes
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: THE ALLIANCE OF STATE RETAIL ASSOCIATIONS 401(K) PLAN & TRUST 2020 form 5500 responses
2020-01-01	Type of plan entity	Mulitple employer plan
2020-01-01	Submission has been amended	Yes
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

913AA

Policy instance

Insurance contract or identification number	913AA
Number of Individuals Covered	2164
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $19,501
Total amount of fees paid to insurance company	USD $0
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $9,640
Insurance broker organization code?	4

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

GP 867AA

Policy instance

Insurance contract or identification number	GP 867AA
Number of Individuals Covered	2164
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $104,942
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	104942
Additional information about fees paid to insurance broker	ASRA ASSOCIATION SUBSIDY
Insurance broker organization code?	0

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

913AA

Policy instance

Insurance contract or identification number	913AA
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $14,004
Total amount of fees paid to insurance company	USD $127,823
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $5,989
Insurance broker organization code?	4
Amount paid for insurance broker fees	127823
Additional information about fees paid to insurance broker	ASRA ASSOCIATION SUBSIDY

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )

Policy contract number

913AA

Policy instance

Insurance contract or identification number	913AA
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No

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Company Name:	RETAIL ASSOCIATION OF MAINE 401K PL
Employer identification number (EIN):	010165117
NAIC Classification:	561300