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MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 401k Plan overview

Plan NameMERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN
Plan identification number 003

MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • 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 403(b)(1) arrangement - See Limited Pension Plan Reporting instructions for Code section 403(b)(1) arrangements for certain exempt organizations.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

MERCY HEALTH CORPORATION has sponsored the creation of one or more 401k plans.

Company Name:MERCY HEALTH CORPORATION
Employer identification number (EIN):472158680
NAIC Classification:622000
NAIC Description: Hospitals

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0032022-01-01
0032021-01-01
0032020-01-01
0032019-01-01
0032018-01-01
0032017-01-01KATHY HARRIS

Plan Statistics for MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN

401k plan membership statisitcs for MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN

Measure Date Value
2022: MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-0111,676
Total number of active participants reported on line 7a of the Form 55002022-01-017,387
Number of retired or separated participants receiving benefits2022-01-0162
Number of other retired or separated participants entitled to future benefits2022-01-014,586
Total of all active and inactive participants2022-01-0112,035
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-0136
Total participants2022-01-0112,071
Number of participants with account balances2022-01-0112,071
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-01602
2021: MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-0111,544
Total number of active participants reported on line 7a of the Form 55002021-01-016,181
Number of retired or separated participants receiving benefits2021-01-0153
Number of other retired or separated participants entitled to future benefits2021-01-015,408
Total of all active and inactive participants2021-01-0111,642
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-0134
Total participants2021-01-0111,676
Number of participants with account balances2021-01-0111,676
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-01582
2020: MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-0111,740
Total number of active participants reported on line 7a of the Form 55002020-01-016,694
Number of retired or separated participants receiving benefits2020-01-0152
Number of other retired or separated participants entitled to future benefits2020-01-014,768
Total of all active and inactive participants2020-01-0111,514
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-0130
Total participants2020-01-0111,544
Number of participants with account balances2020-01-0111,544
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-01523
2019: MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-0111,006
Total number of active participants reported on line 7a of the Form 55002019-01-017,908
Number of retired or separated participants receiving benefits2019-01-0145
Number of other retired or separated participants entitled to future benefits2019-01-013,768
Total of all active and inactive participants2019-01-0111,721
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-0119
Total participants2019-01-0111,740
Number of participants with account balances2019-01-0111,740
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-01345
2018: MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-019,853
Total number of active participants reported on line 7a of the Form 55002018-01-017,727
Number of retired or separated participants receiving benefits2018-01-0135
Number of other retired or separated participants entitled to future benefits2018-01-013,225
Total of all active and inactive participants2018-01-0110,987
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-0119
Total participants2018-01-0111,006
Number of participants with account balances2018-01-0111,006
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-01222
2017: MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-014,007
Total number of active participants reported on line 7a of the Form 55002017-01-017,320
Number of retired or separated participants receiving benefits2017-01-0126
Number of other retired or separated participants entitled to future benefits2017-01-012,497
Total of all active and inactive participants2017-01-019,843
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-0110
Total participants2017-01-019,853
Number of participants with account balances2017-01-019,853
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-01145

Financial Data on MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN

Measure Date Value
2022 : MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-67,501,732
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$66,331,534
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$66,205,761
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$78,511,422
Value of total assets at end of year2022-12-31$707,059,663
Value of total assets at beginning of year2022-12-31$840,892,929
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$125,773
Total interest from all sources2022-12-31$3,098,371
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$47,780,453
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$47,780,453
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$31,383,398
Participant contributions at end of year2022-12-31$6,157,894
Participant contributions at beginning of year2022-12-31$6,195,176
Participant contributions at end of year2022-12-31$598,542
Participant contributions at beginning of year2022-12-31$476,207
Assets. Other investments not covered elsewhere at end of year2022-12-31$3,155,667
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$4,074,704
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$31,502,357
Administrative expenses (other) incurred2022-12-31$125,773
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-133,833,266
Value of net assets at end of year (total assets less liabilities)2022-12-31$707,059,663
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$840,892,929
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$573,873,718
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$718,576,677
Interest on participant loans2022-12-31$258,030
Interest earned on other investments2022-12-31$2,840,341
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$122,475,600
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$110,825,529
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-196,569,113
Net investment gain/loss from pooled separate accounts2022-12-31$-322,865
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$15,625,667
Employer contributions (assets) at end of year2022-12-31$798,242
Employer contributions (assets) at beginning of year2022-12-31$744,636
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$66,205,761
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 name2022-12-31WIPFLI LLP
Accountancy firm EIN2022-12-31390758449
2021 : MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$166,051,016
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$68,542,044
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$68,417,705
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$56,036,502
Value of total assets at end of year2021-12-31$840,892,929
Value of total assets at beginning of year2021-12-31$743,383,957
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$124,339
Total interest from all sources2021-12-31$2,536,207
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$58,445,661
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$58,445,661
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$31,643,743
Participant contributions at end of year2021-12-31$6,195,176
Participant contributions at beginning of year2021-12-31$6,526,862
Participant contributions at end of year2021-12-31$476,207
Participant contributions at beginning of year2021-12-31$0
Assets. Other investments not covered elsewhere at end of year2021-12-31$4,074,704
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$3,688,131
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$9,033,213
Administrative expenses (other) incurred2021-12-31$124,339
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$97,508,972
Value of net assets at end of year (total assets less liabilities)2021-12-31$840,892,929
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$743,383,957
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$718,576,677
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$622,826,103
Interest on participant loans2021-12-31$292,945
Interest earned on other investments2021-12-31$2,243,262
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$110,825,529
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$109,867,870
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$48,769,530
Net investment gain/loss from pooled separate accounts2021-12-31$263,116
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$15,359,546
Employer contributions (assets) at end of year2021-12-31$744,636
Employer contributions (assets) at beginning of year2021-12-31$474,991
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$68,417,705
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 name2021-12-31WIPFLI LLP
Accountancy firm EIN2021-12-31390758449
2020 : MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$174,209,783
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$56,090,496
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$55,974,548
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$57,204,536
Value of total assets at end of year2020-12-31$743,383,957
Value of total assets at beginning of year2020-12-31$625,264,670
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$115,948
Total interest from all sources2020-12-31$2,991,522
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$31,174,163
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$31,174,163
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$32,989,499
Participant contributions at end of year2020-12-31$6,526,862
Participant contributions at beginning of year2020-12-31$7,509,383
Assets. Other investments not covered elsewhere at end of year2020-12-31$3,688,131
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$3,206,914
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$7,917,766
Administrative expenses (other) incurred2020-12-31$115,948
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$118,119,287
Value of net assets at end of year (total assets less liabilities)2020-12-31$743,383,957
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$625,264,670
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$622,826,103
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$516,416,274
Interest on participant loans2020-12-31$444,226
Interest earned on other investments2020-12-31$2,547,296
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$109,867,870
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$97,852,743
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$82,541,627
Net investment gain/loss from pooled separate accounts2020-12-31$297,935
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$16,297,271
Employer contributions (assets) at end of year2020-12-31$474,991
Employer contributions (assets) at beginning of year2020-12-31$279,356
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$55,974,548
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 plan2020-12-31Unqualified
Accountancy firm name2020-12-31WIPFLI LLP
Accountancy firm EIN2020-12-31390758449
2019 : MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$170,707,710
Total income from all sources (including contributions)2019-12-31$170,707,710
Total loss/gain on sale of assets2019-12-31$0
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$37,648,426
Total of all expenses incurred2019-12-31$37,648,426
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$37,535,088
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$37,535,088
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$61,265,322
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$61,265,322
Value of total assets at end of year2019-12-31$625,264,670
Value of total assets at end of year2019-12-31$625,264,670
Value of total assets at beginning of year2019-12-31$492,205,386
Value of total assets at beginning of year2019-12-31$492,205,386
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$113,338
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$113,338
Total interest from all sources2019-12-31$3,147,585
Total interest from all sources2019-12-31$3,147,585
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$27,171,926
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$27,171,926
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$27,171,926
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$33,801,931
Participant contributions at end of year2019-12-31$7,509,383
Participant contributions at end of year2019-12-31$7,509,383
Participant contributions at beginning of year2019-12-31$5,902,831
Participant contributions at beginning of year2019-12-31$5,902,831
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$10,763,479
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$10,763,479
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$133,059,284
Value of net income/loss2019-12-31$133,059,284
Value of net assets at end of year (total assets less liabilities)2019-12-31$625,264,670
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$492,205,386
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$492,205,386
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$518,207,652
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$518,207,652
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$392,371,422
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$392,371,422
Value of interest in pooled separate accounts at end of year2019-12-31$1,415,536
Value of interest in pooled separate accounts at end of year2019-12-31$1,415,536
Value of interest in pooled separate accounts at beginning of year2019-12-31$1,219,678
Value of interest in pooled separate accounts at beginning of year2019-12-31$1,219,678
Interest on participant loans2019-12-31$346,188
Interest on participant loans2019-12-31$346,188
Interest earned on other investments2019-12-31$2,801,397
Interest earned on other investments2019-12-31$2,801,397
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$97,852,743
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$97,852,743
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$88,620,686
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$88,620,686
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$78,808,455
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$78,808,455
Net investment gain/loss from pooled separate accounts2019-12-31$314,422
Net investment gain/loss from pooled separate accounts2019-12-31$314,422
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
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$16,699,912
Employer contributions (assets) at end of year2019-12-31$279,356
Employer contributions (assets) at end of year2019-12-31$279,356
Employer contributions (assets) at beginning of year2019-12-31$4,090,769
Employer contributions (assets) at beginning of year2019-12-31$4,090,769
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$37,535,088
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$37,535,088
Contract administrator fees2019-12-31$113,338
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 name2019-12-31WIPFLI LLP
Accountancy firm name2019-12-31WIPFLI LLP
Accountancy firm EIN2019-12-31390758449
Accountancy firm EIN2019-12-31390758449
2018 : MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$40,458,552
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$30,702,813
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$30,586,619
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$58,821,807
Value of total assets at end of year2018-12-31$492,205,386
Value of total assets at beginning of year2018-12-31$482,449,647
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$116,194
Total interest from all sources2018-12-31$2,789,149
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$25,287,709
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$25,287,709
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$30,832,438
Participant contributions at end of year2018-12-31$5,902,831
Participant contributions at beginning of year2018-12-31$5,281,002
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$8,909,437
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$11,900
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$9,755,739
Value of net assets at end of year (total assets less liabilities)2018-12-31$492,205,386
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$482,449,647
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$392,371,422
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$393,012,211
Value of interest in pooled separate accounts at end of year2018-12-31$1,219,678
Value of interest in pooled separate accounts at beginning of year2018-12-31$1,472,321
Interest on participant loans2018-12-31$275,112
Interest earned on other investments2018-12-31$2,514,037
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$88,620,686
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$78,619,477
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-46,353,781
Net investment gain/loss from pooled separate accounts2018-12-31$-86,332
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$19,079,932
Employer contributions (assets) at end of year2018-12-31$4,090,769
Employer contributions (assets) at beginning of year2018-12-31$4,052,736
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$30,586,619
Contract administrator fees2018-12-31$116,194
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 name2018-12-31WIPFLI LLP
Accountancy firm EIN2018-12-31390758449
2017 : MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total transfer of assets to this plan2017-12-31$169,906,132
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$123,868,310
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$43,011,299
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$42,921,674
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$55,359,597
Value of total assets at end of year2017-12-31$482,449,647
Value of total assets at beginning of year2017-12-31$231,686,504
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$89,625
Total interest from all sources2017-12-31$2,314,469
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$15,704,061
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$15,704,061
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$28,209,116
Participant contributions at end of year2017-12-31$5,281,002
Participant contributions at beginning of year2017-12-31$2,402,751
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$7,369,484
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$11,900
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$80,857,011
Value of net assets at end of year (total assets less liabilities)2017-12-31$482,449,647
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$231,686,504
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$393,012,211
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$166,148,804
Value of interest in pooled separate accounts at end of year2017-12-31$1,472,321
Value of interest in pooled separate accounts at beginning of year2017-12-31$1,238,158
Interest on participant loans2017-12-31$204,231
Interest earned on other investments2017-12-31$2,110,238
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$78,619,477
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$59,444,224
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$50,332,088
Net investment gain/loss from pooled separate accounts2017-12-31$158,095
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$19,780,997
Employer contributions (assets) at end of year2017-12-31$4,052,736
Employer contributions (assets) at beginning of year2017-12-31$2,452,567
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$42,921,674
Contract administrator fees2017-12-31$89,625
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 name2017-12-31WIPFLI LLP
Accountancy firm EIN2017-12-31390758449

Form 5500 Responses for MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN

2022: MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan benefit arrangement – InsuranceYes
2021: MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan benefit arrangement – InsuranceYes
2020: MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan benefit arrangement – InsuranceYes
2019: MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan benefit arrangement – InsuranceYes
2018: MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan benefit arrangement – InsuranceYes
2017: MERCY HEALTH CORPORATION EMPLOYEES RETIREMENT PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan benefit arrangement – InsuranceYes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberVE6520
Policy instance 2
Insurance contract or identification numberVE6520
Number of Individuals Covered101
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $3,201
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,201
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerALLOCATED NON-CASH COMP
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number666420
Policy instance 1
Insurance contract or identification number666420
Number of Individuals Covered12392
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $1,518,089
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $1,518,089
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerALLOCATED NON-CASH COMP
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberVE6520
Policy instance 2
Insurance contract or identification numberVE6520
Number of Individuals Covered112
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $3,862
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,862
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerALLOCATED NON-CASH COMP
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number666420
Policy instance 1
Insurance contract or identification number666420
Number of Individuals Covered11905
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $241,029
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $241,029
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerALLOCATED NON-CASH COMP
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberVE6520
Policy instance 2
Insurance contract or identification numberVE6520
Number of Individuals Covered127
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $3,568
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,568
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerALLOCATED NON-CASH COMP
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number450830/806623
Policy instance 3
Insurance contract or identification number450830/806623
Number of Individuals Covered0
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number666420
Policy instance 1
Insurance contract or identification number666420
Number of Individuals Covered11748
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $209,521
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $209,521
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerALLOCATED NON-CASH COMP
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberVE6520
Policy instance 2
Insurance contract or identification numberVE6520
Number of Individuals Covered135
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $3,814
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,814
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerALLOCATED NON-CASH COMP
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number666420
Policy instance 1
Insurance contract or identification number666420
Number of Individuals Covered11928
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $200,102
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $200,102
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerALLOCATED NON-CASH COMP
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number450830/806623
Policy instance 3
Insurance contract or identification number450830/806623
Number of Individuals Covered49
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberVE6520
Policy instance 2
Insurance contract or identification numberVE6520
Number of Individuals Covered165
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $4,072
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,072
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerALLOCATED NON-CASH COMP
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number450830/806623
Policy instance 3
Insurance contract or identification number450830/806623
Number of Individuals Covered57
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number666420
Policy instance 1
Insurance contract or identification number666420
Number of Individuals Covered11006
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $1,088,321
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $1,088,816
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerALLOCATED NON-CASH COMP
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number450830/806623
Policy instance 3
Insurance contract or identification number450830/806623
Number of Individuals Covered61
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $1,750
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees1750
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
Insurance broker nameFIDELITY INVESTMENTS TAX/EXEMPT SER
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number666420
Policy instance 2
Insurance contract or identification number666420
Number of Individuals Covered9853
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $1,300,153
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $1,299,652
Insurance broker organization code?3
Insurance broker nameAMERICAN PORTFOLIOS FINANCIAL SERVI
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberVE6520
Policy instance 1
Insurance contract or identification numberVE6520
Number of Individuals Covered184
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $2,190
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,190
Insurance broker organization code?3
Insurance broker nameREGULUS ADVISORS, LLC

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