401k Plan data: PHASE II SYSTEMS PROFIT SHARING PLAN plan

PHASE II SYSTEMS PROFIT SHARING PLAN 401k Plan overview

Plan Name	PHASE II SYSTEMS PROFIT SHARING PLAN
Plan identification number	003

PHASE II SYSTEMS PROFIT SHARING PLAN 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

PHASE II SYSTEMS has sponsored the creation of one or more 401k plans.

Company Name: PHASE II SYSTEMS

Employer identification number (EIN): 330542454

NAIC Classification: 524290

Additional information about PHASE II SYSTEMS

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 2001-03-06

Company Identification Number: 0013744606

Legal Registered Office Address: 4350 VON KARMAN AVE STE 100

NEWPORT BEACH
United States of America (USA)
92660

More information about PHASE II SYSTEMS

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PHASE II SYSTEMS PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2022-01-01 BRET D. GRIFFIN 2023-07-14
003 2021-01-01 BRET D. GRIFFIN 2022-08-02
003 2020-01-01 BRET D GRIFFIN 2021-07-26 BRET D GRIFFIN 2021-07-26
003 2019-01-01 BRET D GRIFFIN 2020-07-14 BRET D GRIFFIN 2020-07-14
003 2018-01-01 BRET D GRIFFIN 2019-07-30 BRET D GRIFFIN 2019-07-30
003 2017-01-01 BRET GRIFFIN 2018-10-11 BRET GRIFFIN 2018-10-11
003 2016-01-01 TOD HAMMERAS 2017-09-20 TOD HAMMERAS 2017-09-20
003 2015-01-01 TOD HAMMERAS TOD HAMMERAS 2016-09-23
003 2014-01-01 TOD HAMMERAS TOD HAMMERAS 2015-10-02
003 2013-01-01 TOD HAMMERAS TOD HAMMERAS 2014-10-15
003 2012-01-01 TOD HAMMERAS TOD HAMMERAS 2013-10-08
003 2011-01-01 TOD HAMMERAS,FOR ADVISORY COMMITTEE TOD HAMMERAS, CFO 2012-10-05
003 2009-01-01 TOD HAMMERAS, FOR ADVISORY CMTE TOD HAMMERAS, CFO 2010-10-14

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2022-01-01	BRET D. GRIFFIN	2023-07-14
003	2021-01-01	BRET D. GRIFFIN	2022-08-02
003	2020-01-01	BRET D GRIFFIN	2021-07-26	BRET D GRIFFIN	2021-07-26
003	2019-01-01	BRET D GRIFFIN	2020-07-14	BRET D GRIFFIN	2020-07-14
003	2018-01-01	BRET D GRIFFIN	2019-07-30	BRET D GRIFFIN	2019-07-30
003	2017-01-01	BRET GRIFFIN	2018-10-11	BRET GRIFFIN	2018-10-11
003	2016-01-01	TOD HAMMERAS	2017-09-20	TOD HAMMERAS	2017-09-20
003	2015-01-01	TOD HAMMERAS		TOD HAMMERAS	2016-09-23
003	2014-01-01	TOD HAMMERAS		TOD HAMMERAS	2015-10-02
003	2013-01-01	TOD HAMMERAS		TOD HAMMERAS	2014-10-15
003	2012-01-01	TOD HAMMERAS		TOD HAMMERAS	2013-10-08
003	2011-01-01	TOD HAMMERAS,FOR ADVISORY COMMITTEE		TOD HAMMERAS, CFO	2012-10-05
003	2009-01-01	TOD HAMMERAS, FOR ADVISORY CMTE		TOD HAMMERAS, CFO	2010-10-14

Plan Statistics for PHASE II SYSTEMS PROFIT SHARING PLAN

401k plan membership statisitcs for PHASE II SYSTEMS PROFIT SHARING PLAN

Measure Date Value
2015: PHASE II SYSTEMS PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 75
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 51
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 15
Total of all active and inactive participants 2015-01-01 66
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 66
Number of participants with account balances 2015-01-01 64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 1
2014: PHASE II SYSTEMS PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 74
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 57
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 18
Total of all active and inactive participants 2014-01-01 75
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 75
Number of participants with account balances 2014-01-01 74
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: PHASE II SYSTEMS PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 70
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 54
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 20
Total of all active and inactive participants 2013-01-01 74
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 74
Number of participants with account balances 2013-01-01 74
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 3
2012: PHASE II SYSTEMS PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 71
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 51
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 17
Total of all active and inactive participants 2012-01-01 68
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 2
Total participants 2012-01-01 70
Number of participants with account balances 2012-01-01 68
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: PHASE II SYSTEMS PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 63
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 53
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 18
Total of all active and inactive participants 2011-01-01 71
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 71
Number of participants with account balances 2011-01-01 70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 5
2009: PHASE II SYSTEMS PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 55
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 49
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 8
Total of all active and inactive participants 2009-01-01 57
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 57
Number of participants with account balances 2009-01-01 55
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2015: PHASE II SYSTEMS PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	75
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	51
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	15
Total of all active and inactive participants	2015-01-01	66
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	66
Number of participants with account balances	2015-01-01	64
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	1
2014: PHASE II SYSTEMS PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	74
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	57
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	18
Total of all active and inactive participants	2014-01-01	75
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	75
Number of participants with account balances	2014-01-01	74
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: PHASE II SYSTEMS PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	70
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	54
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	20
Total of all active and inactive participants	2013-01-01	74
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	74
Number of participants with account balances	2013-01-01	74
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	3
2012: PHASE II SYSTEMS PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	71
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	51
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	17
Total of all active and inactive participants	2012-01-01	68
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	2
Total participants	2012-01-01	70
Number of participants with account balances	2012-01-01	68
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: PHASE II SYSTEMS PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	63
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	53
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	18
Total of all active and inactive participants	2011-01-01	71
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	71
Number of participants with account balances	2011-01-01	70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	5
2009: PHASE II SYSTEMS PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	55
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	49
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	8
Total of all active and inactive participants	2009-01-01	57
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	57
Number of participants with account balances	2009-01-01	55
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on PHASE II SYSTEMS PROFIT SHARING PLAN

Measure	Date	Value
2015 : PHASE II SYSTEMS PROFIT SHARING PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$1,212,512
Expenses. Total of all expenses incurred	2015-12-31	$160,133
Benefits paid (including direct rollovers)	2015-12-31	$126,100
Total plan assets at end of year	2015-12-31	$12,884,653
Total plan assets at beginning of year	2015-12-31	$11,832,274
Value of fidelity bond covering the plan	2015-12-31	$500,000
Total contributions received or receivable from participants	2015-12-31	$349,867
Other income received	2015-12-31	$-189,156
Net income (gross income less expenses)	2015-12-31	$1,052,379
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$12,884,653
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$11,832,274
Assets. Value of participant loans	2015-12-31	$296,482
Total contributions received or receivable from employer(s)	2015-12-31	$1,051,801
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$34,033
2014 : PHASE II SYSTEMS PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$1,989,697
Expenses. Total of all expenses incurred	2014-12-31	$162,786
Benefits paid (including direct rollovers)	2014-12-31	$116,091
Total plan assets at end of year	2014-12-31	$11,832,274
Total plan assets at beginning of year	2014-12-31	$10,005,363
Value of fidelity bond covering the plan	2014-12-31	$500,000
Total contributions received or receivable from participants	2014-12-31	$231,702
Other income received	2014-12-31	$617,544
Net income (gross income less expenses)	2014-12-31	$1,826,911
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$11,832,274
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$10,005,363
Assets. Value of participant loans	2014-12-31	$249,613
Total contributions received or receivable from employer(s)	2014-12-31	$1,140,451
Value of corrective distributions	2014-12-31	$30,135
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$16,560
2013 : PHASE II SYSTEMS PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$2,720,668
Expenses. Total of all expenses incurred	2013-12-31	$199,884
Benefits paid (including direct rollovers)	2013-12-31	$197,125
Total plan assets at end of year	2013-12-31	$10,005,363
Total plan assets at beginning of year	2013-12-31	$7,484,579
Value of fidelity bond covering the plan	2013-12-31	$500,000
Total contributions received or receivable from participants	2013-12-31	$215,814
Expenses. Other expenses not covered elsewhere	2013-12-31	$2,759
Other income received	2013-12-31	$1,420,776
Net income (gross income less expenses)	2013-12-31	$2,520,784
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$10,005,363
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$7,484,579
Assets. Value of participant loans	2013-12-31	$314,903
Total contributions received or receivable from employer(s)	2013-12-31	$1,084,078
2012 : PHASE II SYSTEMS PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$2,031,030
Expenses. Total of all expenses incurred	2012-12-31	$913,062
Benefits paid (including direct rollovers)	2012-12-31	$911,037
Total plan assets at end of year	2012-12-31	$7,484,579
Total plan assets at beginning of year	2012-12-31	$6,366,611
Value of fidelity bond covering the plan	2012-12-31	$500,000
Total contributions received or receivable from participants	2012-12-31	$171,359
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$712,062
Net income (gross income less expenses)	2012-12-31	$1,117,968
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$7,484,579
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$6,366,611
Assets. Value of participant loans	2012-12-31	$164,954
Total contributions received or receivable from employer(s)	2012-12-31	$1,147,609
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$2,025
2011 : PHASE II SYSTEMS PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$1,099,771
Expenses. Total of all expenses incurred	2011-12-31	$124,133
Benefits paid (including direct rollovers)	2011-12-31	$121,446
Total plan assets at end of year	2011-12-31	$6,366,611
Total plan assets at beginning of year	2011-12-31	$5,390,973
Value of fidelity bond covering the plan	2011-12-31	$500,000
Total contributions received or receivable from participants	2011-12-31	$184,837
Contributions received from other sources (not participants or employers)	2011-12-31	$16,526
Other income received	2011-12-31	$-124,664
Net income (gross income less expenses)	2011-12-31	$975,638
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$6,366,611
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$5,390,973
Assets. Value of participant loans	2011-12-31	$125,549
Total contributions received or receivable from employer(s)	2011-12-31	$1,023,072
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$2,687
2010 : PHASE II SYSTEMS PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$971,555
Expenses. Total of all expenses incurred	2010-12-31	$216,153
Benefits paid (including direct rollovers)	2010-12-31	$214,316
Total plan assets at end of year	2010-12-31	$5,390,973
Total plan assets at beginning of year	2010-12-31	$4,635,571
Value of fidelity bond covering the plan	2010-12-31	$500,000
Total contributions received or receivable from participants	2010-12-31	$144,730
Contributions received from other sources (not participants or employers)	2010-12-31	$547
Other income received	2010-12-31	$482,463
Net income (gross income less expenses)	2010-12-31	$755,402
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$5,390,973
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$4,635,571
Assets. Value of participant loans	2010-12-31	$106,859
Total contributions received or receivable from employer(s)	2010-12-31	$343,815
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$1,837

Form 5500 Responses for PHASE II SYSTEMS PROFIT SHARING PLAN

2015: PHASE II SYSTEMS PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: PHASE II SYSTEMS PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: PHASE II SYSTEMS PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: PHASE II SYSTEMS PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: PHASE II SYSTEMS PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: PHASE II SYSTEMS PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

YH1124

Policy instance

Insurance contract or identification number	YH1124
Number of Individuals Covered	66
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $2,032
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	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
Commission paid to Insurance Broker	USD $2,032
Insurance broker organization code?	3
Insurance broker name	MORGAN STANLEY SMITH BARNEY LLC

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

YH1124

Policy instance

Insurance contract or identification number	YH1124
Number of Individuals Covered	75
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $1,731
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	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
Commission paid to Insurance Broker	USD $1,731
Insurance broker organization code?	3
Insurance broker name	MORGAN STANLEY SMITH BARNEY LLC

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

YH1124

Policy instance

Insurance contract or identification number	YH1124
Number of Individuals Covered	78
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	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

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Company Name:	PHASE II SYSTEMS
Employer identification number (EIN):	330542454
NAIC Classification:	524290

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	2001-03-06
Company Identification Number:	0013744606
Legal Registered Office Address:	4350 VON KARMAN AVE STE 100 NEWPORT BEACH United States of America (USA) 92660