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HARTLEY & PARKER, LTD., INC. 401(K) PLAN 401k Plan overview

Plan NameHARTLEY & PARKER, LTD., INC. 401(K) PLAN
Plan identification number 002

HARTLEY & PARKER, LTD., 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.
  • Plan covering Self-Employed individuals.
  • 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

HARTLEY & PARKER LIMITED, INC. has sponsored the creation of one or more 401k plans.

Company Name:HARTLEY & PARKER LIMITED, INC.
Employer identification number (EIN):060384867
NAIC Classification:424800

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HARTLEY & PARKER, LTD., INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022022-01-01
0022022-01-01
0022021-01-01
0022020-01-01
0022019-01-01
0022018-01-01
0022017-01-01MIKE BYLO
0022016-01-01MIKE BYLO
0022015-01-01MIKE BYLO
0022015-01-01MIKE BYLO
0022014-01-01MIKE BYLO
0022013-01-01MIKE BYLO
0022012-01-01A1362944
0022011-01-01MIKE BYLO
0022009-01-01MIKE BYLO

Plan Statistics for HARTLEY & PARKER, LTD., INC. 401(K) PLAN

401k plan membership statisitcs for HARTLEY & PARKER, LTD., INC. 401(K) PLAN

Measure Date Value
2022: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01182
Total number of active participants reported on line 7a of the Form 55002022-01-01152
Number of retired or separated participants receiving benefits2022-01-0121
Number of other retired or separated participants entitled to future benefits2022-01-0148
Total of all active and inactive participants2022-01-01221
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01221
Number of participants with account balances2022-01-01213
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-0116
2021: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01209
Total number of active participants reported on line 7a of the Form 55002021-01-01143
Number of retired or separated participants receiving benefits2021-01-0112
Number of other retired or separated participants entitled to future benefits2021-01-0127
Total of all active and inactive participants2021-01-01182
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01182
Number of participants with account balances2021-01-01182
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-015
2020: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01198
Total number of active participants reported on line 7a of the Form 55002020-01-01173
Number of retired or separated participants receiving benefits2020-01-013
Number of other retired or separated participants entitled to future benefits2020-01-0127
Total of all active and inactive participants2020-01-01203
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01203
Number of participants with account balances2020-01-01169
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-018
2019: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01180
Total number of active participants reported on line 7a of the Form 55002019-01-01162
Number of retired or separated participants receiving benefits2019-01-012
Number of other retired or separated participants entitled to future benefits2019-01-0125
Total of all active and inactive participants2019-01-01189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01189
Number of participants with account balances2019-01-01144
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-017
2018: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01179
Total number of active participants reported on line 7a of the Form 55002018-01-01148
Number of other retired or separated participants entitled to future benefits2018-01-0118
Total of all active and inactive participants2018-01-01166
Total participants2018-01-01166
Number of participants with account balances2018-01-01127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-014
2017: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01179
Total number of active participants reported on line 7a of the Form 55002017-01-01146
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0129
Total of all active and inactive participants2017-01-01175
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01175
Number of participants with account balances2017-01-01135
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-011
2016: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01172
Total number of active participants reported on line 7a of the Form 55002016-01-01151
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0123
Total of all active and inactive participants2016-01-01174
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01174
Number of participants with account balances2016-01-01133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-011
2015: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01175
Total number of active participants reported on line 7a of the Form 55002015-01-01151
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0119
Total of all active and inactive participants2015-01-01170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01170
Number of participants with account balances2015-01-01131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-012
2014: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01166
Total number of active participants reported on line 7a of the Form 55002014-01-01158
Number of retired or separated participants receiving benefits2014-01-011
Number of other retired or separated participants entitled to future benefits2014-01-0116
Total of all active and inactive participants2014-01-01175
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01175
Number of participants with account balances2014-01-01127
2013: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01144
Total number of active participants reported on line 7a of the Form 55002013-01-01150
Number of retired or separated participants receiving benefits2013-01-011
Number of other retired or separated participants entitled to future benefits2013-01-0115
Total of all active and inactive participants2013-01-01166
Total participants2013-01-01166
Number of participants with account balances2013-01-01123
2012: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01145
Total number of active participants reported on line 7a of the Form 55002012-01-01124
Number of retired or separated participants receiving benefits2012-01-011
Number of other retired or separated participants entitled to future benefits2012-01-0119
Total of all active and inactive participants2012-01-01144
Total participants2012-01-01144
Number of participants with account balances2012-01-01128
2011: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01155
Total number of active participants reported on line 7a of the Form 55002011-01-01126
Number of retired or separated participants receiving benefits2011-01-011
Number of other retired or separated participants entitled to future benefits2011-01-0118
Total of all active and inactive participants2011-01-01145
Total participants2011-01-01145
Number of participants with account balances2011-01-01126
2009: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01177
Total number of active participants reported on line 7a of the Form 55002009-01-01140
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0119
Total of all active and inactive participants2009-01-01159
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01159
Number of participants with account balances2009-01-01124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on HARTLEY & PARKER, LTD., INC. 401(K) PLAN

Measure Date Value
2022 : HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2022 401k financial data
Total income from all sources (including contributions)2022-12-31$-1,973,584
Total of all expenses incurred2022-12-31$1,465,927
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$1,457,604
Expenses. Certain deemed distributions of participant loans2022-12-31$2,189
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$1,018,132
Value of total assets at end of year2022-12-31$11,120,224
Value of total assets at beginning of year2022-12-31$14,559,735
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$6,134
Total interest from all sources2022-12-31$32,580
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$460,885
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$460,885
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$829,077
Participant contributions at end of year2022-12-31$246,289
Participant contributions at beginning of year2022-12-31$251,208
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$30,526
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-3,439,511
Value of net assets at end of year (total assets less liabilities)2022-12-31$11,120,224
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$14,559,735
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
Investment advisory and management fees2022-12-31$5,279
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$9,014,746
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$12,853,889
Interest on participant loans2022-12-31$11,281
Interest earned on other investments2022-12-31$21,299
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$1,859,189
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$1,454,638
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-3,485,181
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 contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$158,529
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$1,457,604
Contract administrator fees2022-12-31$855
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32022-12-31No
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 name2022-12-31MAYER HOFFMAN MCCANN CPAS
Accountancy firm EIN2022-12-31431947695
2021 : HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2021 401k financial data
Total income from all sources (including contributions)2021-12-31$2,566,452
Total of all expenses incurred2021-12-31$1,306,533
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$1,301,110
Expenses. Certain deemed distributions of participant loans2021-12-31$8
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$926,406
Value of total assets at end of year2021-12-31$14,559,735
Value of total assets at beginning of year2021-12-31$13,299,816
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$5,415
Total interest from all sources2021-12-31$30,146
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$918,793
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$918,793
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
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$781,213
Participant contributions at end of year2021-12-31$251,208
Participant contributions at beginning of year2021-12-31$247,867
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$1,259,919
Value of net assets at end of year (total assets less liabilities)2021-12-31$14,559,735
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$13,299,816
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
Investment advisory and management fees2021-12-31$4,943
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$12,853,889
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$11,514,258
Interest on participant loans2021-12-31$12,290
Interest earned on other investments2021-12-31$17,856
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$1,454,638
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$1,537,691
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$691,107
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 contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$145,193
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$1,301,110
Contract administrator fees2021-12-31$472
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32021-12-31No
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 name2021-12-31MAYER HOFFMAN MCCANN CPAS
Accountancy firm EIN2021-12-31431947695
2020 : HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2020 401k financial data
Total income from all sources (including contributions)2020-12-31$3,145,914
Total of all expenses incurred2020-12-31$539,328
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$528,687
Expenses. Certain deemed distributions of participant loans2020-12-31$2,582
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$856,559
Value of total assets at end of year2020-12-31$13,299,816
Value of total assets at beginning of year2020-12-31$10,693,230
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$8,059
Total interest from all sources2020-12-31$29,902
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$476,619
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$476,619
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
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$724,082
Participant contributions at end of year2020-12-31$247,867
Participant contributions at beginning of year2020-12-31$176,383
Other income not declared elsewhere2020-12-31$4,276
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$2,606,586
Value of net assets at end of year (total assets less liabilities)2020-12-31$13,299,816
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$10,693,230
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$5,672
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$11,514,258
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$8,877,741
Interest on participant loans2020-12-31$9,002
Interest earned on other investments2020-12-31$20,900
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$1,537,691
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$1,639,106
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$1,778,558
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 contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$132,477
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$528,687
Contract administrator fees2020-12-31$2,387
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32020-12-31No
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
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31MARKS PANETH LLP
Accountancy firm EIN2020-12-31113518842
2019 : HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2019 401k financial data
Total income from all sources (including contributions)2019-12-31$2,766,805
Total income from all sources (including contributions)2019-12-31$2,766,805
Total of all expenses incurred2019-12-31$781,218
Total of all expenses incurred2019-12-31$781,218
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$769,368
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$769,368
Expenses. Certain deemed distributions of participant loans2019-12-31$5,490
Expenses. Certain deemed distributions of participant loans2019-12-31$5,490
Value of total corrective distributions2019-12-31$3,282
Value of total corrective distributions2019-12-31$3,282
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$825,023
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$825,023
Value of total assets at end of year2019-12-31$10,693,230
Value of total assets at end of year2019-12-31$10,693,230
Value of total assets at beginning of year2019-12-31$8,707,643
Value of total assets at beginning of year2019-12-31$8,707,643
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$3,078
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$3,078
Total interest from all sources2019-12-31$25,696
Total interest from all sources2019-12-31$25,696
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$384,823
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$384,823
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$384,823
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$384,823
Was this plan covered by a fidelity bond2019-12-31Yes
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
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$618,660
Contributions received from participants2019-12-31$618,660
Participant contributions at end of year2019-12-31$176,383
Participant contributions at end of year2019-12-31$176,383
Participant contributions at beginning of year2019-12-31$196,638
Participant contributions at beginning of year2019-12-31$196,638
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$90,756
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$90,756
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
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$1,985,587
Value of net income/loss2019-12-31$1,985,587
Value of net assets at end of year (total assets less liabilities)2019-12-31$10,693,230
Value of net assets at end of year (total assets less liabilities)2019-12-31$10,693,230
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$8,707,643
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$8,707,643
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
Investment advisory and management fees2019-12-31$804
Investment advisory and management fees2019-12-31$804
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$8,877,741
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$8,877,741
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$7,544,834
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$7,544,834
Interest on participant loans2019-12-31$10,500
Interest on participant loans2019-12-31$10,500
Interest earned on other investments2019-12-31$15,196
Interest earned on other investments2019-12-31$15,196
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$1,639,106
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$1,639,106
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$966,171
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$966,171
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$1,531,263
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$1,531,263
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 contributions2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
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$115,607
Contributions received in cash from employer2019-12-31$115,607
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$769,368
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$769,368
Contract administrator fees2019-12-31$2,274
Contract administrator fees2019-12-31$2,274
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32019-12-31No
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32019-12-31No
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 name2019-12-31MARKS PANETH LLP
Accountancy firm name2019-12-31MARKS PANETH LLP
Accountancy firm EIN2019-12-31113518842
Accountancy firm EIN2019-12-31113518842
2018 : HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2018 401k financial data
Total income from all sources (including contributions)2018-12-31$139,357
Total of all expenses incurred2018-12-31$1,055,097
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$1,034,972
Expenses. Certain deemed distributions of participant loans2018-12-31$6,370
Value of total corrective distributions2018-12-31$11,036
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$670,179
Value of total assets at end of year2018-12-31$8,707,643
Value of total assets at beginning of year2018-12-31$9,623,383
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$2,719
Total interest from all sources2018-12-31$20,292
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$544,085
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$544,085
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
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$560,720
Participant contributions at end of year2018-12-31$196,638
Participant contributions at beginning of year2018-12-31$153,026
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$2,394
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-915,740
Value of net assets at end of year (total assets less liabilities)2018-12-31$8,707,643
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$9,623,383
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
Investment advisory and management fees2018-12-31$782
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$7,544,834
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$8,514,028
Interest on participant loans2018-12-31$7,531
Interest earned on other investments2018-12-31$12,761
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$966,171
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$956,329
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-1,095,199
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 contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$107,065
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$1,034,972
Contract administrator fees2018-12-31$1,937
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 name2018-12-31MARKS PANETH LLP
Accountancy firm EIN2018-12-31113518842
2017 : HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2017 401k financial data
Total income from all sources (including contributions)2017-12-31$2,391,415
Total of all expenses incurred2017-12-31$570,224
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$559,205
Expenses. Certain deemed distributions of participant loans2017-12-31$-4,574
Value of total corrective distributions2017-12-31$10,415
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$696,250
Value of total assets at end of year2017-12-31$9,623,383
Value of total assets at beginning of year2017-12-31$7,802,192
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$5,178
Total interest from all sources2017-12-31$19,074
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$387,015
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$387,015
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
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$512,115
Participant contributions at end of year2017-12-31$153,026
Participant contributions at beginning of year2017-12-31$145,952
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$78,985
Administrative expenses (other) incurred2017-12-31$5,178
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$1,821,191
Value of net assets at end of year (total assets less liabilities)2017-12-31$9,623,383
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$7,802,192
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$8,514,028
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$6,745,161
Interest on participant loans2017-12-31$6,822
Interest earned on other investments2017-12-31$12,252
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$956,329
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$911,079
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$1,289,076
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 contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$105,150
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$559,205
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 name2017-12-31MARKS PANETH LLP
Accountancy firm EIN2017-12-31113518842
2016 : HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2016 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$9,762
Total income from all sources (including contributions)2016-12-31$1,008,094
Total of all expenses incurred2016-12-31$297,813
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$290,289
Expenses. Certain deemed distributions of participant loans2016-12-31$6,558
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$643,223
Value of total assets at end of year2016-12-31$7,802,192
Value of total assets at beginning of year2016-12-31$7,101,673
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$966
Total interest from all sources2016-12-31$19,193
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$242,824
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$242,824
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 period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$497,061
Participant contributions at end of year2016-12-31$145,952
Participant contributions at beginning of year2016-12-31$101,960
Participant contributions at end of year2016-12-31$0
Participant contributions at beginning of year2016-12-31$8,844
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$40,548
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-12-31$9,762
Administrative expenses (other) incurred2016-12-31$966
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$710,281
Value of net assets at end of year (total assets less liabilities)2016-12-31$7,802,192
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$7,091,911
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$6,745,161
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$6,194,074
Interest on participant loans2016-12-31$7,102
Interest earned on other investments2016-12-31$12,091
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$911,079
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$796,257
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$102,854
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$105,614
Employer contributions (assets) at end of year2016-12-31$0
Employer contributions (assets) at beginning of year2016-12-31$538
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$290,289
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-31No
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 name2016-12-31MARKS PANETH LLP
Accountancy firm EIN2016-12-31113518842
2015 : HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2015 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$9,762
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$2,137
Total income from all sources (including contributions)2015-12-31$560,013
Total of all expenses incurred2015-12-31$805,328
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$794,528
Expenses. Certain deemed distributions of participant loans2015-12-31$8,837
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$577,268
Value of total assets at end of year2015-12-31$7,101,673
Value of total assets at beginning of year2015-12-31$7,339,363
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$1,963
Total interest from all sources2015-12-31$37,955
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$244,290
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$244,290
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 period2015-12-31Yes
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$419,714
Participant contributions at end of year2015-12-31$101,960
Participant contributions at beginning of year2015-12-31$157,318
Participant contributions at end of year2015-12-31$8,844
Participant contributions at beginning of year2015-12-31$10,549
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$63,382
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$9,762
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$2,137
Administrative expenses (other) incurred2015-12-31$1,963
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-245,315
Value of net assets at end of year (total assets less liabilities)2015-12-31$7,091,911
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$7,337,226
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 registered invesment companies (eg mutual funds) at end of year2015-12-31$6,194,074
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$0
Value of interest in pooled separate accounts at end of year2015-12-31$0
Value of interest in pooled separate accounts at beginning of year2015-12-31$6,386,633
Interest on participant loans2015-12-31$7,226
Interest earned on other investments2015-12-31$30,729
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$796,257
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$775,821
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-502,579
Net investment gain/loss from pooled separate accounts2015-12-31$203,079
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$94,172
Employer contributions (assets) at end of year2015-12-31$538
Employer contributions (assets) at beginning of year2015-12-31$9,042
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$794,528
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31Yes
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 name2015-12-31MARKS PANETH LLP
Accountancy firm EIN2015-12-31113518842
2014 : HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2014 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$2,137
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$6,593
Total income from all sources (including contributions)2014-12-31$1,122,400
Total of all expenses incurred2014-12-31$276,071
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$257,792
Expenses. Certain deemed distributions of participant loans2014-12-31$15,651
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$564,619
Value of total assets at end of year2014-12-31$7,339,363
Value of total assets at beginning of year2014-12-31$6,497,490
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$2,628
Total interest from all sources2014-12-31$17,766
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$408,101
Participant contributions at end of year2014-12-31$157,318
Participant contributions at beginning of year2014-12-31$137,082
Participant contributions at end of year2014-12-31$10,549
Participant contributions at beginning of year2014-12-31$14,705
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$66,316
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$2,137
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$6,593
Administrative expenses (other) incurred2014-12-31$2,628
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$846,329
Value of net assets at end of year (total assets less liabilities)2014-12-31$7,337,226
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$6,490,897
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in pooled separate accounts at end of year2014-12-31$6,386,633
Value of interest in pooled separate accounts at beginning of year2014-12-31$5,576,818
Interest on participant loans2014-12-31$7,504
Interest earned on other investments2014-12-31$10,262
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$775,821
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$757,180
Net investment gain/loss from pooled separate accounts2014-12-31$540,015
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31Yes
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$90,202
Employer contributions (assets) at end of year2014-12-31$9,042
Employer contributions (assets) at beginning of year2014-12-31$11,705
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$257,792
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32014-12-31No
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 name2014-12-31MARKS PANETH LLP
Accountancy firm EIN2014-12-31113518842
2013 : HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2013 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$6,593
Total income from all sources (including contributions)2013-12-31$1,714,116
Total of all expenses incurred2013-12-31$281,727
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$273,099
Expenses. Certain deemed distributions of participant loans2013-12-31$3,503
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$523,745
Value of total assets at end of year2013-12-31$6,497,490
Value of total assets at beginning of year2013-12-31$5,058,508
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$5,125
Total interest from all sources2013-12-31$13,075
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$340
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$340
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$2,000,000
If this is an individual account plan, was there a blackout period2013-12-31Yes
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$404,455
Participant contributions at end of year2013-12-31$137,082
Participant contributions at beginning of year2013-12-31$133,299
Participant contributions at end of year2013-12-31$14,705
Participant contributions at beginning of year2013-12-31$10
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$22,941
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$6,593
Administrative expenses (other) incurred2013-12-31$5,125
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$1,432,389
Value of net assets at end of year (total assets less liabilities)2013-12-31$6,490,897
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$5,058,508
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$3,778,069
Value of interest in pooled separate accounts at end of year2013-12-31$5,576,818
Interest on participant loans2013-12-31$5,225
Interest earned on other investments2013-12-31$7,850
Value of interest in common/collective trusts at beginning of year2013-12-31$1,147,098
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$757,180
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$133,959
Net investment gain/loss from pooled separate accounts2013-12-31$988,467
Net investment gain or loss from common/collective trusts2013-12-31$54,530
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$96,349
Employer contributions (assets) at end of year2013-12-31$11,705
Employer contributions (assets) at beginning of year2013-12-31$32
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$273,099
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-12-31Yes
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31MARKS PANETH LLP
Accountancy firm EIN2013-12-31113518842
2012 : HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2012 401k financial data
Total income from all sources (including contributions)2012-12-31$1,097,472
Total of all expenses incurred2012-12-31$490,230
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$486,980
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$470,648
Value of total assets at end of year2012-12-31$5,058,508
Value of total assets at beginning of year2012-12-31$4,451,266
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$3,250
Total interest from all sources2012-12-31$6,445
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$38,406
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$38,406
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$2,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$384,376
Participant contributions at end of year2012-12-31$133,299
Participant contributions at beginning of year2012-12-31$98,878
Participant contributions at end of year2012-12-31$10
Participant contributions at beginning of year2012-12-31$190
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$28,895
Administrative expenses (other) incurred2012-12-31$3,250
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$607,242
Value of net assets at end of year (total assets less liabilities)2012-12-31$5,058,508
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$4,451,266
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$3,778,069
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$3,390,406
Interest on participant loans2012-12-31$6,445
Value of interest in common/collective trusts at end of year2012-12-31$1,147,098
Value of interest in common/collective trusts at beginning of year2012-12-31$961,701
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$444,702
Net investment gain or loss from common/collective trusts2012-12-31$137,271
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$57,377
Employer contributions (assets) at end of year2012-12-31$32
Employer contributions (assets) at beginning of year2012-12-31$91
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$486,980
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-12-31No
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31MARKS PANETH & SHRON LLP
Accountancy firm EIN2012-12-31113518842
2011 : HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2011 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$5,651
Total income from all sources (including contributions)2011-12-31$342,971
Total loss/gain on sale of assets2011-12-31$67,344
Total of all expenses incurred2011-12-31$268,805
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$265,280
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$503,091
Value of total assets at end of year2011-12-31$4,451,266
Value of total assets at beginning of year2011-12-31$4,382,751
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$3,525
Total interest from all sources2011-12-31$5,933
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$25,212
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$25,212
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$2,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$415,111
Participant contributions at end of year2011-12-31$98,878
Participant contributions at beginning of year2011-12-31$105,348
Participant contributions at end of year2011-12-31$190
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$25,087
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$5,651
Administrative expenses (other) incurred2011-12-31$3,525
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$74,166
Value of net assets at end of year (total assets less liabilities)2011-12-31$4,451,266
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$4,377,100
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$3,390,406
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$3,388,294
Interest on participant loans2011-12-31$5,933
Value of interest in common/collective trusts at end of year2011-12-31$961,701
Value of interest in common/collective trusts at beginning of year2011-12-31$889,109
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-259,593
Net investment gain or loss from common/collective trusts2011-12-31$984
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$62,893
Employer contributions (assets) at end of year2011-12-31$91
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$265,280
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$580,921
Aggregate carrying amount (costs) on sale of assets2011-12-31$513,577
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31MARKS PANETH & SHRON LLP
Accountancy firm EIN2011-12-31113518842
2010 : HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2010 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$5,651
Total income from all sources (including contributions)2010-12-31$905,791
Total loss/gain on sale of assets2010-12-31$59,176
Total of all expenses incurred2010-12-31$168,420
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$158,720
Expenses. Certain deemed distributions of participant loans2010-12-31$7,200
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$473,154
Value of total assets at end of year2010-12-31$4,382,751
Value of total assets at beginning of year2010-12-31$3,639,729
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$2,500
Total interest from all sources2010-12-31$6,156
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$22,947
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$22,947
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$2,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$393,736
Participant contributions at end of year2010-12-31$105,348
Participant contributions at beginning of year2010-12-31$100,479
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$20,009
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$5,651
Other income not declared elsewhere2010-12-31$285
Administrative expenses (other) incurred2010-12-31$2,500
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$737,371
Value of net assets at end of year (total assets less liabilities)2010-12-31$4,377,100
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$3,639,729
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$3,388,294
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$2,900,353
Interest on participant loans2010-12-31$6,156
Value of interest in common/collective trusts at end of year2010-12-31$889,109
Value of interest in common/collective trusts at beginning of year2010-12-31$638,897
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$214,551
Net investment gain or loss from common/collective trusts2010-12-31$129,522
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$59,409
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$158,720
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Aggregate proceeds on sale of assets2010-12-31$527,951
Aggregate carrying amount (costs) on sale of assets2010-12-31$468,775
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31MARKS PANETH & SHRON LLP
Accountancy firm EIN2010-12-31113518842
2009 : HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for HARTLEY & PARKER, LTD., INC. 401(K) PLAN

2022: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedYes
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: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
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: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
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: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
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: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
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: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
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: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
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: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedYes
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: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
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: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2009: HARTLEY & PARKER, LTD., INC. 401(K) PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01This submission is the final filingNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number372852-01
Policy instance 1
Insurance contract or identification number372852-01
Number of Individuals Covered41
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $5,044
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $5,044
Insurance broker organization code?3
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number372852-01
Policy instance 1
Insurance contract or identification number372852-01
Number of Individuals Covered42
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $3,520
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,520
Insurance broker organization code?3
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number372852-01
Policy instance 1
Insurance contract or identification number372852-01
Number of Individuals Covered49
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $3,150
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,150
Insurance broker organization code?3
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number372852-01
Policy instance 1
Insurance contract or identification number372852-01
Number of Individuals Covered40
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $3,735
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,735
Insurance broker organization code?3
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number372852-01
Policy instance 1
Insurance contract or identification number372852-01
Number of Individuals Covered38
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $2,654
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,654
Insurance broker organization code?3
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number372852-01
Policy instance 1
Insurance contract or identification number372852-01
Number of Individuals Covered51
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $2,177
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,177
Insurance broker organization code?3
Insurance broker nameMMA SECURITIES LLC
GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )
Policy contract number372852-01
Policy instance 2
Insurance contract or identification number372852-01
Number of Individuals Covered54
Insurance policy start date2015-07-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $3,959
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,959
Insurance broker organization code?3
Insurance broker nameMMA SECURITIES LLC
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9701
Policy instance 1
Insurance contract or identification numberZH9701
Number of Individuals Covered0
Insurance policy start date2015-01-01
Insurance policy end date2015-07-01
Total amount of commissions paid to insurance brokerUSD $9,218
Total amount of fees paid to insurance companyUSD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $9,218
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY LLC
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9701
Policy instance 1
Insurance contract or identification numberZH9701
Number of Individuals Covered175
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $14,943
Total amount of fees paid to insurance companyUSD $0
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 contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $14,943
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY LLC
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9701
Policy instance 1
Insurance contract or identification numberZH9701
Number of Individuals Covered166
Insurance policy start date2013-02-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $55,629
Total amount of fees paid to insurance companyUSD $0
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 contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $55,629
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY LLC

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