401k Plan data: UFINANCIAL EMPLOYEES 401(K) PLAN plan

UFINANCIAL EMPLOYEES 401(K) PLAN 401k Plan overview

Plan Name	UFINANCIAL EMPLOYEES 401(K) PLAN
Plan identification number	001

UFINANCIAL EMPLOYEES 401(K) 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.
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

COCORES HOLDINGS, LLC DBA UFINANCIAL GROUP has sponsored the creation of one or more 401k plans.

Company Name: COCORES HOLDINGS, LLC DBA UFINANCIAL GROUP

Employer identification number (EIN): 822487164

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UFINANCIAL EMPLOYEES 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01

Plan Statistics for UFINANCIAL EMPLOYEES 401(K) PLAN

401k plan membership statisitcs for UFINANCIAL EMPLOYEES 401(K) PLAN

Measure Date Value
2022: UFINANCIAL EMPLOYEES 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 144
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 95
Number of retired or separated participants receiving benefits 2022-01-01 5
Number of other retired or separated participants entitled to future benefits 2022-01-01 46
Total of all active and inactive participants 2022-01-01 146
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 146
Number of participants with account balances 2022-01-01 138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 7
2021: UFINANCIAL EMPLOYEES 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 144
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 88
Number of retired or separated participants receiving benefits 2021-01-01 2
Number of other retired or separated participants entitled to future benefits 2021-01-01 39
Total of all active and inactive participants 2021-01-01 129
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 129
Number of participants with account balances 2021-01-01 117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 8
2020: UFINANCIAL EMPLOYEES 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 143
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 104
Number of retired or separated participants receiving benefits 2020-01-01 2
Number of other retired or separated participants entitled to future benefits 2020-01-01 36
Total of all active and inactive participants 2020-01-01 142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 142
Number of participants with account balances 2020-01-01 124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 10
2019: UFINANCIAL EMPLOYEES 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 140
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 99
Number of retired or separated participants receiving benefits 2019-01-01 4
Number of other retired or separated participants entitled to future benefits 2019-01-01 24
Total of all active and inactive participants 2019-01-01 127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 127
Number of participants with account balances 2019-01-01 112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 11
2018: UFINANCIAL EMPLOYEES 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 124
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 103
Number of retired or separated participants receiving benefits 2018-01-01 2
Number of other retired or separated participants entitled to future benefits 2018-01-01 23
Total of all active and inactive participants 2018-01-01 128
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 128
Number of participants with account balances 2018-01-01 114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 8

Measure	Date	Value
2022: UFINANCIAL EMPLOYEES 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	144
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	95
Number of retired or separated participants receiving benefits	2022-01-01	5
Number of other retired or separated participants entitled to future benefits	2022-01-01	46
Total of all active and inactive participants	2022-01-01	146
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	146
Number of participants with account balances	2022-01-01	138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	7
2021: UFINANCIAL EMPLOYEES 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	144
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	88
Number of retired or separated participants receiving benefits	2021-01-01	2
Number of other retired or separated participants entitled to future benefits	2021-01-01	39
Total of all active and inactive participants	2021-01-01	129
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	129
Number of participants with account balances	2021-01-01	117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	8
2020: UFINANCIAL EMPLOYEES 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	143
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	104
Number of retired or separated participants receiving benefits	2020-01-01	2
Number of other retired or separated participants entitled to future benefits	2020-01-01	36
Total of all active and inactive participants	2020-01-01	142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	142
Number of participants with account balances	2020-01-01	124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	10
2019: UFINANCIAL EMPLOYEES 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	140
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	99
Number of retired or separated participants receiving benefits	2019-01-01	4
Number of other retired or separated participants entitled to future benefits	2019-01-01	24
Total of all active and inactive participants	2019-01-01	127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	127
Number of participants with account balances	2019-01-01	112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	11
2018: UFINANCIAL EMPLOYEES 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	124
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	103
Number of retired or separated participants receiving benefits	2018-01-01	2
Number of other retired or separated participants entitled to future benefits	2018-01-01	23
Total of all active and inactive participants	2018-01-01	128
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	128
Number of participants with account balances	2018-01-01	114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	8

Financial Data on UFINANCIAL EMPLOYEES 401(K) PLAN

Measure	Date	Value
2022 : UFINANCIAL EMPLOYEES 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$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	$-452,839
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$421,208
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$382,566
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$692,116
Value of total assets at end of year	2022-12-31	$6,118,805
Value of total assets at beginning of year	2022-12-31	$6,992,852
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$38,642
Total interest from all sources	2022-12-31	$13,062
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$133,933
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$133,933
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$477,611
Participant contributions at end of year	2022-12-31	$41,079
Participant contributions at beginning of year	2022-12-31	$66,115
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$465
Other income not declared elsewhere	2022-12-31	$0
Administrative expenses (other) incurred	2022-12-31	$3,025
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-874,047
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$6,118,805
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$6,992,852
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Investment advisory and management fees	2022-12-31	$25,896
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$2,632,137
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$3,052,456
Value of interest in pooled separate accounts at end of year	2022-12-31	$2,899,354
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$3,313,980
Interest on participant loans	2022-12-31	$2,637
Interest earned on other investments	2022-12-31	$10,425
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$546,235
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$560,301
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-596,508
Net investment gain/loss from pooled separate accounts	2022-12-31	$-695,442
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$214,040
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$382,566
Contract administrator fees	2022-12-31	$9,721
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	SMITH ELLIOTT KEARNS & COMPANY, LLC
Accountancy firm EIN	2022-12-31	520783935
2021 : UFINANCIAL EMPLOYEES 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$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	$1,460,064
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$1,079,403
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$1,040,933
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$537,637
Value of total assets at end of year	2021-12-31	$6,992,852
Value of total assets at beginning of year	2021-12-31	$6,612,191
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$38,470
Total interest from all sources	2021-12-31	$14,829
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$290,495
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$290,495
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$397,443
Participant contributions at end of year	2021-12-31	$66,115
Participant contributions at beginning of year	2021-12-31	$91,220
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$380,661
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$6,992,852
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$6,612,191
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Investment advisory and management fees	2021-12-31	$36,392
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$3,052,456
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$2,777,183
Value of interest in pooled separate accounts at end of year	2021-12-31	$3,313,980
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$3,132,148
Interest on participant loans	2021-12-31	$3,985
Interest earned on other investments	2021-12-31	$10,844
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$560,301
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$611,640
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$198,334
Net investment gain/loss from pooled separate accounts	2021-12-31	$418,769
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$140,194
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$1,040,933
Contract administrator fees	2021-12-31	$2,078
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	SMITH ELLIOT KEARNS & COMPANY, LLC
Accountancy firm EIN	2021-12-31	520783935
2020 : UFINANCIAL EMPLOYEES 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$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	$1,471,675
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$231,104
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$199,965
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$577,649
Value of total assets at end of year	2020-12-31	$6,612,191
Value of total assets at beginning of year	2020-12-31	$5,371,620
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$31,139
Total interest from all sources	2020-12-31	$412,323
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$415,771
Participant contributions at end of year	2020-12-31	$91,220
Participant contributions at beginning of year	2020-12-31	$114,283
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$18,112
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$1,240,571
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$6,612,191
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$5,371,620
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Investment advisory and management fees	2020-12-31	$29,303
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$2,777,183
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$2,336,511
Value of interest in pooled separate accounts at end of year	2020-12-31	$3,132,148
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$1,656,388
Interest on participant loans	2020-12-31	$5,521
Interest earned on other investments	2020-12-31	$406,802
Value of interest in common/collective trusts at beginning of year	2020-12-31	$739,783
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$611,640
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$524,655
Net investment gain/loss from pooled separate accounts	2020-12-31	$481,703
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$143,766
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$199,965
Contract administrator fees	2020-12-31	$1,836
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	SMITH ELLIOTT KEARNS & COMPANY, LLC
Accountancy firm EIN	2020-12-31	520783935
2019 : UFINANCIAL EMPLOYEES 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	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	$10
Total income from all sources (including contributions)	2019-12-31	$1,353,390
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$408,524
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$386,482
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$446,969
Value of total assets at end of year	2019-12-31	$5,371,620
Value of total assets at beginning of year	2019-12-31	$4,426,764
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$22,042
Total interest from all sources	2019-12-31	$339,623
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$443,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$336,353
Participant contributions at end of year	2019-12-31	$114,283
Participant contributions at beginning of year	2019-12-31	$142,110
Participant contributions at beginning of year	2019-12-31	$11,478
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$10
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$944,866
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$5,371,620
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$4,426,754
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$2,336,511
Value of interest in pooled separate accounts at end of year	2019-12-31	$1,656,388
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$3,438,032
Interest on participant loans	2019-12-31	$6,846
Interest earned on other investments	2019-12-31	$332,777
Value of interest in common/collective trusts at end of year	2019-12-31	$739,783
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$524,655
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$830,786
Net investment gain/loss from pooled separate accounts	2019-12-31	$566,798
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$110,616
Employer contributions (assets) at beginning of year	2019-12-31	$4,358
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$386,482
Contract administrator fees	2019-12-31	$22,042
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	SMITH ELLIOTT KEARNS & COMPANY, LLC
Accountancy firm EIN	2019-12-31	520783935
2018 : UFINANCIAL EMPLOYEES 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$10
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	$121,017
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$548,362
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$546,293
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$402,343
Value of total assets at end of year	2018-12-31	$4,426,764
Value of total assets at beginning of year	2018-12-31	$4,854,099
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$2,069
Total interest from all sources	2018-12-31	$32,439
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$486,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$301,183
Participant contributions at end of year	2018-12-31	$142,110
Participant contributions at beginning of year	2018-12-31	$172,725
Participant contributions at end of year	2018-12-31	$11,478
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2018-12-31	$10
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-427,345
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$4,426,754
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$4,854,099
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in pooled separate accounts at end of year	2018-12-31	$3,438,032
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$3,850,878
Interest on participant loans	2018-12-31	$7,569
Interest earned on other investments	2018-12-31	$24,870
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$830,786
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$830,514
Net investment gain/loss from pooled separate accounts	2018-12-31	$-313,765
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$101,160
Employer contributions (assets) at end of year	2018-12-31	$4,358
Employer contributions (assets) at beginning of year	2018-12-31	$-18
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$546,293
Contract administrator fees	2018-12-31	$2,069
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	SMITH ELLIOTT KEARNS & COMPANY, LLC
Accountancy firm EIN	2018-12-31	520783935

Form 5500 Responses for UFINANCIAL EMPLOYEES 401(K) PLAN

2022: UFINANCIAL EMPLOYEES 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: UFINANCIAL EMPLOYEES 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: UFINANCIAL EMPLOYEES 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: UFINANCIAL EMPLOYEES 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: UFINANCIAL EMPLOYEES 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

768354-01

Policy instance

Insurance contract or identification number	768354-01
Number of Individuals Covered	138
Insurance policy start date	2022-09-10
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $1,884
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	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 $934
Insurance broker organization code?	3

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

RM 82774-1

Policy instance

Insurance contract or identification number	RM 82774-1
Number of Individuals Covered	0
Insurance policy start date	2022-01-01
Insurance policy end date	2022-09-09
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	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

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

RM 82774-1

Policy instance

Insurance contract or identification number	RM 82774-1
Number of Individuals Covered	117
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $13,258
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	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 $13,258
Insurance broker organization code?	4

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

RM 82774-1

Policy instance

Insurance contract or identification number	RM 82774-1
Number of Individuals Covered	124
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $13,369
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	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 $6,889
Insurance broker organization code?	3

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

RM 82774-1

Policy instance

Insurance contract or identification number	RM 82774-1
Number of Individuals Covered	112
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $13,017
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	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 $6,645
Insurance broker organization code?	3

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

RM 82774-1

Policy instance

Insurance contract or identification number	RM 82774-1
Number of Individuals Covered	128
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $17,674
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	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 $10,847
Insurance broker organization code?	3

Potentially related plans

UFINANCIAL EMPLOYEES 401(K) PLAN [EIN = 142005994]

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Company Name:	COCORES HOLDINGS, LLC DBA UFINANCIAL GROUP
Employer identification number (EIN):	822487164
NAIC Classification:	523900