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SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 401k Plan overview

Plan NameSUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN
Plan identification number 001

SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Plan covering Self-Employed individuals.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

SUMMIT HANDLING SYSTEMS, INC. has sponsored the creation of one or more 401k plans.

Company Name:SUMMIT HANDLING SYSTEMS, INC.
Employer identification number (EIN):060789485
NAIC Classification:333900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012019-01-01
0012018-01-01JOSEPH J AVENI2019-09-09 JOSEPH J AVENI2019-09-09
0012017-01-01JOSEPH J AVENI2018-08-22 JOSEPH J AVENI2018-08-22
0012016-01-01JOSEPH J. AVENI2017-06-29 JOSEPH J. AVENI2017-06-29
0012015-01-01JOSEPH J. AVENI JOSEPH J. AVENI2016-06-10
0012014-01-01JOSEPH AVENI JOSEPH AVENI2015-09-08
0012013-01-01JOSEPH AVENI
0012012-01-01JOSEPH AVENI SUMMIT HANDLING SYSTEMS INC.2013-09-23
0012011-01-01JOSEPH J AVENI JOSEPH J AVENI2012-05-22
0012009-01-01
0012009-01-01JOSEPH J. AVENI

Plan Statistics for SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN

401k plan membership statisitcs for SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN

Measure Date Value
2022: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01135
Total number of active participants reported on line 7a of the Form 55002022-01-01128
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-0127
Total of all active and inactive participants2022-01-01155
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01155
Number of participants with account balances2022-01-01140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-018
2021: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01138
Total number of active participants reported on line 7a of the Form 55002021-01-01116
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-0119
Total of all active and inactive participants2021-01-01135
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01135
Number of participants with account balances2021-01-01119
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-018
2020: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01138
Total number of active participants reported on line 7a of the Form 55002020-01-01108
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-0130
Total of all active and inactive participants2020-01-01138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01138
Number of participants with account balances2020-01-01121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0111
2019: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01142
Total number of active participants reported on line 7a of the Form 55002019-01-01116
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0122
Total of all active and inactive participants2019-01-01138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01138
Number of participants with account balances2019-01-01118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-018
2015: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-0193
Total number of active participants reported on line 7a of the Form 55002015-01-0198
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-019
Total of all active and inactive participants2015-01-01107
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01107
Number of participants with account balances2015-01-0179
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-011
2014: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-0189
Total number of active participants reported on line 7a of the Form 55002014-01-0185
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-018
Total of all active and inactive participants2014-01-0193
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-0193
Number of participants with account balances2014-01-0177
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-011
2013: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-0195
Total number of active participants reported on line 7a of the Form 55002013-01-0176
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0113
Total of all active and inactive participants2013-01-0189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-0189
Number of participants with account balances2013-01-0185
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-011
2012: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-0185
Total number of active participants reported on line 7a of the Form 55002012-01-0181
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0114
Total of all active and inactive participants2012-01-0195
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0195
Number of participants with account balances2012-01-0180
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-012
2011: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-0193
Total number of active participants reported on line 7a of the Form 55002011-01-0171
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0114
Total of all active and inactive participants2011-01-0185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-0185
Number of participants with account balances2011-01-0174
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-013
2009: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-0188
Total number of active participants reported on line 7a of the Form 55002009-01-0172
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0111
Total of all active and inactive participants2009-01-0183
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-0183
Number of participants with account balances2009-01-0170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-011

Financial Data on SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN

Measure Date Value
2022 : SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING 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$0
Total income from all sources (including contributions)2022-12-31$-862,910
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$2,306,945
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$2,285,207
Value of total corrective distributions2022-12-31$10,838
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$1,008,310
Value of total assets at end of year2022-12-31$9,686,343
Value of total assets at beginning of year2022-12-31$12,856,198
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$10,900
Total interest from all sources2022-12-31$18,562
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
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$707,660
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$97,035
Other income not declared elsewhere2022-12-31$130
Administrative expenses (other) incurred2022-12-31$10,900
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-3,169,855
Value of net assets at end of year (total assets less liabilities)2022-12-31$9,686,343
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$12,856,198
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$8,151,546
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$10,984,593
Interest earned on other investments2022-12-31$18,562
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$1,534,797
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$1,871,605
Net investment gain/loss from pooled separate accounts2022-12-31$-1,889,912
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 contributions2022-12-31Yes
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$203,615
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$2,285,207
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 name2022-12-31SIMIONE MACCA & LARROW, LLP
Accountancy firm EIN2022-12-31061586075
2021 : SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING 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$2,425,480
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$901,994
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$896,601
Value of total corrective distributions2021-12-31$3,343
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$759,845
Value of total assets at end of year2021-12-31$12,856,198
Value of total assets at beginning of year2021-12-31$11,332,712
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$2,050
Total interest from all sources2021-12-31$22,065
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$591,258
Administrative expenses (other) incurred2021-12-31$2,050
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$1,523,486
Value of net assets at end of year (total assets less liabilities)2021-12-31$12,856,198
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$11,332,712
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$10,984,593
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$9,454,246
Interest earned on other investments2021-12-31$22,065
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$1,871,605
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$1,878,466
Net investment gain/loss from pooled separate accounts2021-12-31$1,643,570
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 contributions2021-12-31Yes
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$168,587
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$896,601
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 name2021-12-31SIMIONE MACCA & LARROW, LLP
Accountancy firm EIN2021-12-31061586075
2020 : SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING 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$2,191,067
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$255,473
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$236,823
Value of total corrective distributions2020-12-31$9,100
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$720,423
Value of total assets at end of year2020-12-31$11,332,712
Value of total assets at beginning of year2020-12-31$9,397,118
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$9,550
Total interest from all sources2020-12-31$19,418
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 year2020-12-31No
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$547,058
Administrative expenses (other) incurred2020-12-31$9,550
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$1,935,594
Value of net assets at end of year (total assets less liabilities)2020-12-31$11,332,712
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$9,397,118
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$9,454,246
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$8,285,472
Interest earned on other investments2020-12-31$19,418
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$1,878,466
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$1,111,646
Net investment gain/loss from pooled separate accounts2020-12-31$1,451,226
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 contributions2020-12-31Yes
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$173,365
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$236,823
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31SIMIONE MACCA & LARROW, LLP
Accountancy firm EIN2020-12-31061586075
2019 : SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING 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$2,368,001
Total income from all sources (including contributions)2019-12-31$2,368,001
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$220,220
Total of all expenses incurred2019-12-31$220,220
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$219,070
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$219,070
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$720,042
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$720,042
Value of total assets at end of year2019-12-31$9,397,118
Value of total assets at end of year2019-12-31$9,397,118
Value of total assets at beginning of year2019-12-31$7,249,337
Value of total assets at beginning of year2019-12-31$7,249,337
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$1,150
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$1,150
Total interest from all sources2019-12-31$16,656
Total interest from all sources2019-12-31$16,656
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$0
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 year2019-12-31No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
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
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$510,208
Contributions received from participants2019-12-31$510,208
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$45,611
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$45,611
Administrative expenses (other) incurred2019-12-31$1,150
Administrative expenses (other) incurred2019-12-31$1,150
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$2,147,781
Value of net income/loss2019-12-31$2,147,781
Value of net assets at end of year (total assets less liabilities)2019-12-31$9,397,118
Value of net assets at end of year (total assets less liabilities)2019-12-31$9,397,118
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$7,249,337
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$7,249,337
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$8,285,472
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$8,285,472
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$6,045,399
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$6,045,399
Interest earned on other investments2019-12-31$16,656
Interest earned on other investments2019-12-31$16,656
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$1,111,646
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$1,111,646
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$1,203,938
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$1,203,938
Net investment gain/loss from pooled separate accounts2019-12-31$1,631,303
Net investment gain/loss from pooled separate accounts2019-12-31$1,631,303
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
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$164,223
Contributions received in cash from employer2019-12-31$164,223
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$219,070
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$219,070
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 name2019-12-31SIMIONE MACCA & LARROW, LLP
Accountancy firm name2019-12-31SIMIONE MACCA & LARROW, LLP
Accountancy firm EIN2019-12-31061586075
Accountancy firm EIN2019-12-31061586075
2015 : SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2015 401k financial data
Total income from all sources2015-12-31$494,898
Expenses. Total of all expenses incurred2015-12-31$97,601
Benefits paid (including direct rollovers)2015-12-31$97,101
Total plan assets at end of year2015-12-31$5,185,178
Total plan assets at beginning of year2015-12-31$4,787,881
Value of fidelity bond covering the plan2015-12-31$500,000
Total contributions received or receivable from participants2015-12-31$318,789
Contributions received from other sources (not participants or employers)2015-12-31$4,764
Other income received2015-12-31$73,858
Net income (gross income less expenses)2015-12-31$397,297
Net plan assets at end of year (total assets less liabilities)2015-12-31$5,185,178
Net plan assets at beginning of year (total assets less liabilities)2015-12-31$4,787,881
Total contributions received or receivable from employer(s)2015-12-31$97,487
Expenses. Administrative service providers (salaries,fees and commissions)2015-12-31$500
2014 : SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2014 401k financial data
Total income from all sources2014-12-31$696,783
Expenses. Total of all expenses incurred2014-12-31$451,846
Benefits paid (including direct rollovers)2014-12-31$448,245
Total plan assets at end of year2014-12-31$4,787,881
Total plan assets at beginning of year2014-12-31$4,542,944
Value of fidelity bond covering the plan2014-12-31$500,000
Total contributions received or receivable from participants2014-12-31$321,651
Other income received2014-12-31$275,093
Net income (gross income less expenses)2014-12-31$244,937
Net plan assets at end of year (total assets less liabilities)2014-12-31$4,787,881
Net plan assets at beginning of year (total assets less liabilities)2014-12-31$4,542,944
Total contributions received or receivable from employer(s)2014-12-31$100,039
Value of corrective distributions2014-12-31$2,801
Expenses. Administrative service providers (salaries,fees and commissions)2014-12-31$800
2013 : SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2013 401k financial data
Total income from all sources2013-12-31$1,214,930
Expenses. Total of all expenses incurred2013-12-31$148,110
Benefits paid (including direct rollovers)2013-12-31$147,660
Total plan assets at end of year2013-12-31$4,542,944
Total plan assets at beginning of year2013-12-31$3,476,124
Value of fidelity bond covering the plan2013-12-31$500,000
Total contributions received or receivable from participants2013-12-31$297,295
Expenses. Other expenses not covered elsewhere2013-12-31$450
Contributions received from other sources (not participants or employers)2013-12-31$27,900
Other income received2013-12-31$794,080
Net income (gross income less expenses)2013-12-31$1,066,820
Net plan assets at end of year (total assets less liabilities)2013-12-31$4,542,944
Net plan assets at beginning of year (total assets less liabilities)2013-12-31$3,476,124
Total contributions received or receivable from employer(s)2013-12-31$95,655
2012 : SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources2012-12-31$718,610
Expenses. Total of all expenses incurred2012-12-31$28,902
Benefits paid (including direct rollovers)2012-12-31$28,902
Total plan assets at end of year2012-12-31$3,476,124
Total plan assets at beginning of year2012-12-31$2,786,416
Value of fidelity bond covering the plan2012-12-31$500,000
Total contributions received or receivable from participants2012-12-31$279,538
Contributions received from other sources (not participants or employers)2012-12-31$0
Other income received2012-12-31$356,602
Net income (gross income less expenses)2012-12-31$689,708
Net plan assets at end of year (total assets less liabilities)2012-12-31$3,476,124
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$2,786,416
Total contributions received or receivable from employer(s)2012-12-31$82,470
Value of certain deemed distributions of participant loans2012-12-31$0
Value of corrective distributions2012-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2012-12-31$0
2011 : SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources2011-12-31$265,939
Expenses. Total of all expenses incurred2011-12-31$115,905
Benefits paid (including direct rollovers)2011-12-31$115,905
Total plan assets at end of year2011-12-31$2,786,416
Total plan assets at beginning of year2011-12-31$2,636,382
Value of fidelity bond covering the plan2011-12-31$500,000
Total contributions received or receivable from participants2011-12-31$241,582
Contributions received from other sources (not participants or employers)2011-12-31$0
Other income received2011-12-31$-43,416
Net income (gross income less expenses)2011-12-31$150,034
Net plan assets at end of year (total assets less liabilities)2011-12-31$2,786,416
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$2,636,382
Total contributions received or receivable from employer(s)2011-12-31$67,773
Value of certain deemed distributions of participant loans2011-12-31$0
Value of corrective distributions2011-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$0
2010 : SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources2010-12-31$557,228
Expenses. Total of all expenses incurred2010-12-31$33,929
Benefits paid (including direct rollovers)2010-12-31$33,929
Total plan assets at end of year2010-12-31$2,636,382
Total plan assets at beginning of year2010-12-31$2,113,083
Value of fidelity bond covering the plan2010-12-31$500,000
Total contributions received or receivable from participants2010-12-31$224,208
Contributions received from other sources (not participants or employers)2010-12-31$0
Other income received2010-12-31$263,101
Net income (gross income less expenses)2010-12-31$523,299
Net plan assets at end of year (total assets less liabilities)2010-12-31$2,636,382
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$2,113,083
Total contributions received or receivable from employer(s)2010-12-31$69,919
Value of certain deemed distributions of participant loans2010-12-31$0
Value of corrective distributions2010-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2010-12-31$0

Form 5500 Responses for SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN

2022: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING 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 funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedYes
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 funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING 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 funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING 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 funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2015: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2009: SUMMIT HANDLING SYSTEMS, INC. 401K PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberYH4301
Policy instance 1
Insurance contract or identification numberYH4301
Number of Individuals Covered155
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $31,484
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 $31,484
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberYH4301
Policy instance 1
Insurance contract or identification numberYH4301
Number of Individuals Covered135
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $36,724
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 $36,724
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberYH4301
Policy instance 1
Insurance contract or identification numberYH4301
Number of Individuals Covered138
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $28,284
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 $28,284
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9687
Policy instance 1
Insurance contract or identification numberZH9687
Number of Individuals Covered0
Insurance policy start date2019-01-01
Insurance policy end date2019-09-10
Total amount of commissions paid to insurance brokerUSD $18,493
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 $14,182
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberYH4301
Policy instance 2
Insurance contract or identification numberYH4301
Number of Individuals Covered138
Insurance policy start date2019-09-11
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $6,661
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 $6,661
Insurance broker organization code?3
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9687
Policy instance 1
Insurance contract or identification numberZH9687
Number of Individuals Covered107
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $10,110
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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 $875
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY LLC
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9687
Policy instance 1
Insurance contract or identification numberZH9687
Number of Individuals Covered93
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $8,857
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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 $8,857
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY LLC
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberZH9687
Policy instance 1
Insurance contract or identification numberZH9687
Number of Individuals Covered89
Insurance policy start date2013-01-11
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $39,701
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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 $39,701
Insurance broker organization code?3
Insurance broker nameMORGAN STANLEY SMITH BARNEY LLC

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