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CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 401k Plan overview

Plan NameCASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG
Plan identification number 001

CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG Benefits

401k Plan TypeDefined Benefit Pension
Plan Features/Benefits
  • Benefits are primarily pay related
  • Cash balance or similar plan - Plan has a "cash balance" formula. For this purpose, a "cash balance" formula is a benefit formula in a defined benefit plan by whatever name (for example, personal account plan, pension equity plan, life cycle plan, cash account plan, etc.) that rather than, or in addition to, expressing the accrued benefit as a life annuity commencing at normal retirement age, defines benefits for each employee in terms more common to a defined contribution plan such as a single sum distribution amount (for example, 10 percent of final average pay times years of service, or the amount of the employee's hypothetical account balance).
  • Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

PORTIGON AG has sponsored the creation of one or more 401k plans.

Company Name:PORTIGON AG
Employer identification number (EIN):132677075
NAIC Classification:523110
NAIC Description:Investment Banking and Securities Dealing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012016-01-01SANDRA RUSSO
0012015-01-01SANDRA RUSSO
0012014-01-01SANDRA RUSSO
0012013-01-01SANDRA RUSSO
0012012-01-01SANDRA RUSSO
0012011-01-01SANDRA RUSSO
0012010-01-01SANDRA RUSSO
0012009-01-01SANDRA RUSSO
0012009-01-01SANDRA RUSSO

Plan Statistics for CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG

401k plan membership statisitcs for CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG

Measure Date Value
2016: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2016 401k membership
Total participants, beginning-of-year2016-01-01116
Total number of active participants reported on line 7a of the Form 55002016-01-010
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-010
Total of all active and inactive participants2016-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2015 401k membership
Total participants, beginning-of-year2015-01-01203
Total number of active participants reported on line 7a of the Form 55002015-01-0115
Number of retired or separated participants receiving benefits2015-01-0128
Number of other retired or separated participants entitled to future benefits2015-01-0172
Total of all active and inactive participants2015-01-01115
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-011
Total participants2015-01-01116
2014: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2014 401k membership
Total participants, beginning-of-year2014-01-01273
Total number of active participants reported on line 7a of the Form 55002014-01-0167
Number of retired or separated participants receiving benefits2014-01-0121
Number of other retired or separated participants entitled to future benefits2014-01-01114
Total of all active and inactive participants2014-01-01202
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-011
Total participants2014-01-01203
2013: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2013 401k membership
Total participants, beginning-of-year2013-01-01391
Total number of active participants reported on line 7a of the Form 55002013-01-01127
Number of retired or separated participants receiving benefits2013-01-0117
Number of other retired or separated participants entitled to future benefits2013-01-01128
Total of all active and inactive participants2013-01-01272
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-011
Total participants2013-01-01273
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-012
2012: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2012 401k membership
Total participants, beginning-of-year2012-01-01439
Total number of active participants reported on line 7a of the Form 55002012-01-01190
Number of retired or separated participants receiving benefits2012-01-0114
Number of other retired or separated participants entitled to future benefits2012-01-01186
Total of all active and inactive participants2012-01-01390
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-011
Total participants2012-01-01391
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0112
2011: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2011 401k membership
Total participants, beginning-of-year2011-01-01471
Total number of active participants reported on line 7a of the Form 55002011-01-01259
Number of retired or separated participants receiving benefits2011-01-0113
Number of other retired or separated participants entitled to future benefits2011-01-01166
Total of all active and inactive participants2011-01-01438
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-011
Total participants2011-01-01439
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0110
2010: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2010 401k membership
Total participants, beginning-of-year2010-01-01478
Total number of active participants reported on line 7a of the Form 55002010-01-01293
Number of retired or separated participants receiving benefits2010-01-0113
Number of other retired or separated participants entitled to future benefits2010-01-01157
Total of all active and inactive participants2010-01-01463
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-011
Total participants2010-01-01464
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-017
2009: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2009 401k membership
Total participants, beginning-of-year2009-01-01535
Total number of active participants reported on line 7a of the Form 55002009-01-01315
Number of retired or separated participants receiving benefits2009-01-0122
Number of other retired or separated participants entitled to future benefits2009-01-01140
Total of all active and inactive participants2009-01-01477
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-011
Total participants2009-01-01478
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0121

Financial Data on CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG

Measure Date Value
2016 : CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-08-01$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-08-01$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-08-01$0
Total income from all sources (including contributions)2016-08-01$1,152,607
Total loss/gain on sale of assets2016-08-01$0
Total of all expenses incurred2016-08-01$16,949,946
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-08-01$16,891,726
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-08-01$716,606
Value of total assets at end of year2016-08-01$0
Value of total assets at beginning of year2016-08-01$15,797,339
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-08-01$58,220
Total interest from all sources2016-08-01$101
Total dividends received (eg from common stock, registered investment company shares)2016-08-01$10,032
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-08-01Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2016-08-01$0
Total dividends received from registered investment company shares (eg mutual funds)2016-08-01$10,032
Was this plan covered by a fidelity bond2016-08-01Yes
Value of fidelity bond cover2016-08-01$500,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-08-01$0
Were there any nonexempt tranactions with any party-in-interest2016-08-01No
Administrative expenses (other) incurred2016-08-01$58,220
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-08-01No
Value of net income/loss2016-08-01$-15,797,339
Value of net assets at end of year (total assets less liabilities)2016-08-01$0
Value of net assets at beginning of year (total assets less liabilities)2016-08-01$15,797,339
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-08-01No
Were any loans by the plan or fixed income obligations due to the plan in default2016-08-01No
Were any leases to which the plan was party in default or uncollectible2016-08-01No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-08-01$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-08-01$2,325,349
Value of interest in pooled separate accounts at end of year2016-08-01$0
Value of interest in pooled separate accounts at beginning of year2016-08-01$12,466,086
Interest earned on other investments2016-08-01$101
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-08-01$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-08-01$1,005,904
Expenses. Payments to insurance carriers foe the provision of benefits2016-08-01$14,120,000
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-08-01$15,725
Net investment gain/loss from pooled separate accounts2016-08-01$410,143
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-08-01Yes
Was there a failure to transmit to the plan any participant contributions2016-08-01No
Has the plan failed to provide any benefit when due under the plan2016-08-01No
Contributions received in cash from employer2016-08-01$716,606
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-08-01$2,771,726
Did the plan have assets held for investment2016-08-01No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-08-01No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-08-01Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-08-01Yes
Opinion of an independent qualified public accountant for this plan2016-08-01Disclaimer
Accountancy firm name2016-08-01COHNREZNICK LLP
Accountancy firm EIN2016-08-01221478099
2015 : CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$76,865
Total income from all sources (including contributions)2015-12-31$-53,489
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$15,631,902
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$15,431,488
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$0
Value of total assets at end of year2015-12-31$15,797,339
Value of total assets at beginning of year2015-12-31$31,559,595
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$200,414
Total interest from all sources2015-12-31$83,689
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$47,039
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2015-12-31$0
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$47,039
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$76,865
Other income not declared elsewhere2015-12-31$202,188
Administrative expenses (other) incurred2015-12-31$200,414
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-15,685,391
Value of net assets at end of year (total assets less liabilities)2015-12-31$15,797,339
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$31,482,730
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$2,325,349
Value of interest in pooled separate accounts at end of year2015-12-31$12,466,086
Value of interest in pooled separate accounts at beginning of year2015-12-31$31,559,595
Interest earned on other investments2015-12-31$83,689
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$1,005,904
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-19,016
Net investment gain/loss from pooled separate accounts2015-12-31$-367,389
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31Yes
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$15,431,488
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31COHNREZNICK LLP
Accountancy firm EIN2015-12-31221478099
2014 : CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$76,865
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$3,243,178
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$8,348,714
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$8,229,455
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$0
Value of total assets at end of year2014-12-31$31,559,595
Value of total assets at beginning of year2014-12-31$36,588,266
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$119,259
Total interest from all sources2014-12-31$146,547
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$76,865
Administrative expenses (other) incurred2014-12-31$119,259
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-5,105,536
Value of net assets at end of year (total assets less liabilities)2014-12-31$31,482,730
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$36,588,266
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in pooled separate accounts at end of year2014-12-31$31,559,595
Value of interest in pooled separate accounts at beginning of year2014-12-31$34,292,981
Interest earned on other investments2014-12-31$146,547
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$2,295,285
Net investment gain/loss from pooled separate accounts2014-12-31$3,096,631
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31Yes
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$8,229,455
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31COHNREZNICK LLP
Accountancy firm EIN2014-12-31221478099
2013 : CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$6,309,407
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$10,170,110
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$10,110,500
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$3,068,000
Value of total assets at end of year2013-12-31$36,588,266
Value of total assets at beginning of year2013-12-31$40,448,969
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$59,610
Total interest from all sources2013-12-31$107,632
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Administrative expenses (other) incurred2013-12-31$59,610
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$-3,860,703
Value of net assets at end of year (total assets less liabilities)2013-12-31$36,588,266
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$40,448,969
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in pooled separate accounts at end of year2013-12-31$34,292,981
Value of interest in pooled separate accounts at beginning of year2013-12-31$38,077,581
Interest earned on other investments2013-12-31$107,632
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$2,295,285
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$871,388
Net investment gain/loss from pooled separate accounts2013-12-31$3,133,775
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31Yes
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$3,068,000
Employer contributions (assets) at beginning of year2013-12-31$1,500,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$10,110,500
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31COHNREZNICK LLP
Accountancy firm EIN2013-12-31221478099
2012 : CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$9,377,025
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$5,519,342
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$5,467,699
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$4,500,000
Value of total assets at end of year2012-12-31$40,448,969
Value of total assets at beginning of year2012-12-31$36,591,286
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$51,643
Total interest from all sources2012-12-31$112,378
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2012-12-31$227,669
Administrative expenses (other) incurred2012-12-31$51,643
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$3,857,683
Value of net assets at end of year (total assets less liabilities)2012-12-31$40,448,969
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$36,591,286
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$0
Value of interest in pooled separate accounts at end of year2012-12-31$38,077,581
Value of interest in pooled separate accounts at beginning of year2012-12-31$33,328,299
Interest earned on other investments2012-12-31$112,378
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$871,388
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$3,262,987
Net investment gain/loss from pooled separate accounts2012-12-31$4,764,647
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31Yes
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$4,500,000
Employer contributions (assets) at end of year2012-12-31$1,500,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$5,240,030
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31COHNREZNICK LLP
Accountancy firm EIN2012-12-31221478099
2011 : CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$3,902,923
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$2,444,895
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$2,379,215
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$3,500,000
Value of total assets at end of year2011-12-31$36,591,286
Value of total assets at beginning of year2011-12-31$35,133,258
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$65,680
Total interest from all sources2011-12-31$107,254
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Administrative expenses (other) incurred2011-12-31$65,680
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$1,458,028
Value of net assets at end of year (total assets less liabilities)2011-12-31$36,591,286
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$35,133,258
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$0
Value of interest in pooled separate accounts at end of year2011-12-31$33,328,299
Value of interest in pooled separate accounts at beginning of year2011-12-31$32,150,871
Interest earned on other investments2011-12-31$107,254
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$3,262,987
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$2,982,387
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$27,083
Net investment gain/loss from pooled separate accounts2011-12-31$268,586
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31Yes
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$3,500,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$2,379,215
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31COHNREZNICK LLP
Accountancy firm EIN2011-12-31221478099
2010 : CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$4,908,134
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$2,488,238
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$2,441,356
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$2,500,000
Value of total assets at end of year2010-12-31$35,133,258
Value of total assets at beginning of year2010-12-31$32,713,362
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$46,882
Total interest from all sources2010-12-31$62,462
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Other income not declared elsewhere2010-12-31$1,582
Administrative expenses (other) incurred2010-12-31$46,882
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$2,419,896
Value of net assets at end of year (total assets less liabilities)2010-12-31$35,133,258
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$32,713,362
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$2,105,068
Value of interest in pooled separate accounts at end of year2010-12-31$32,150,871
Value of interest in pooled separate accounts at beginning of year2010-12-31$30,182,733
Interest earned on other investments2010-12-31$62,462
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$2,982,387
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$425,561
Net investment gain/loss from pooled separate accounts2010-12-31$2,344,090
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31Yes
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$2,500,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$2,441,356
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31KOSTIN RUFFKESS & COMPANY LLC
Accountancy firm EIN2010-12-31060754920
2009 : CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG

2016: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingYes
2016-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 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: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 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: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 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: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 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 – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 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 – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes
2009: CASH BALANCE PLAN FOR EMPLOYEES OF PORTIGON AG 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedYes
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 – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number017273
Policy instance 1
Insurance contract or identification number017273
Number of Individuals Covered0
Insurance policy start date2016-01-01
Insurance policy end date2016-08-01
Total amount of commissions paid to insurance brokerUSD $10,000
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 $10,000
Insurance broker organization code?0
Insurance broker namePEGGY WHITMORE
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number017273
Policy instance 1
Insurance contract or identification number017273
Number of Individuals Covered116
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $16,250
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 $16,250
Insurance broker organization code?0
Insurance broker namePEGGY WHITMORE
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number017273
Policy instance 1
Insurance contract or identification number017273
Number of Individuals Covered203
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $22,500
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
Commission paid to Insurance BrokerUSD $22,500
Insurance broker organization code?0
Insurance broker namePEGGY WHITMORE
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number017273
Policy instance 1
Insurance contract or identification number017273
Number of Individuals Covered273
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $30,000
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
Commission paid to Insurance BrokerUSD $30,000
Insurance broker organization code?0
Insurance broker namePEGGY WHITMORE
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number017273
Policy instance 1
Insurance contract or identification number017273
Number of Individuals Covered391
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $30,000
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
Commission paid to Insurance BrokerUSD $30,000
Insurance broker organization code?0
Insurance broker namePEGGY WHITMORE
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA-982
Policy instance 1
Insurance contract or identification numberGA-982
Number of Individuals Covered15
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number017273
Policy instance 2
Insurance contract or identification number017273
Number of Individuals Covered424
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $30,000
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
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract numberGA-982
Policy instance 1
Insurance contract or identification numberGA-982
Number of Individuals Covered464
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
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
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number017273
Policy instance 2
Insurance contract or identification number017273
Number of Individuals Covered464
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $30,000
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

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