401k Plan data: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN plan

LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN
Plan identification number	001

LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.
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

LESLIE J. GARFIELD & CO., INC. has sponsored the creation of one or more 401k plans.

Company Name: LESLIE J. GARFIELD & CO., INC.

Employer identification number (EIN): 132838132

NAIC Classification: 531390
NAIC Description: Other Activities Related to Real Estate

Additional information about LESLIE J. GARFIELD & CO., INC.

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 1975-11-07

Company Identification Number: 383660

Legal Registered Office Address: 505 PARK AVENUE
New York
NEW YORK
United States of America (USA)
10022

More information about LESLIE J. GARFIELD & CO., INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2021-12-01 JED GARFIELD 2023-06-27
001 2020-12-01
001 2019-12-01
001 2018-12-01
001 2017-12-01
001 2016-12-01 JED GARFIELD
001 2015-12-01 JED GARFIELD
001 2011-12-01 JED GARFIELD
001 2010-12-01 JED GARFIELD

Plan Statistics for LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2019: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-12-01 18
Total number of active participants reported on line 7a of the Form 5500 2019-12-01 12
Number of retired or separated participants receiving benefits 2019-12-01 0
Number of other retired or separated participants entitled to future benefits 2019-12-01 3
Total of all active and inactive participants 2019-12-01 15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-12-01 0
Total participants 2019-12-01 15
Number of participants with account balances 2019-12-01 15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-12-01 1
2018: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-12-01 20
Total number of active participants reported on line 7a of the Form 5500 2018-12-01 11
Number of retired or separated participants receiving benefits 2018-12-01 0
Number of other retired or separated participants entitled to future benefits 2018-12-01 6
Total of all active and inactive participants 2018-12-01 17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-12-01 0
Total participants 2018-12-01 17
Number of participants with account balances 2018-12-01 17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-12-01 0
2017: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-12-01 20
Total number of active participants reported on line 7a of the Form 5500 2017-12-01 11
Number of retired or separated participants receiving benefits 2017-12-01 0
Number of other retired or separated participants entitled to future benefits 2017-12-01 9
Total of all active and inactive participants 2017-12-01 20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-12-01 0
Total participants 2017-12-01 20
Number of participants with account balances 2017-12-01 20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-12-01 1
2016: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-12-01 16
Total number of active participants reported on line 7a of the Form 5500 2016-12-01 7
Number of retired or separated participants receiving benefits 2016-12-01 0
Number of other retired or separated participants entitled to future benefits 2016-12-01 9
Total of all active and inactive participants 2016-12-01 16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-12-01 0
Total participants 2016-12-01 16
Number of participants with account balances 2016-12-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-12-01 2
2015: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-12-01 14
Total number of active participants reported on line 7a of the Form 5500 2015-12-01 8
Number of retired or separated participants receiving benefits 2015-12-01 0
Number of other retired or separated participants entitled to future benefits 2015-12-01 6
Total of all active and inactive participants 2015-12-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-12-01 0
Total participants 2015-12-01 14
Number of participants with account balances 2015-12-01 14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-12-01 1
2011: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-12-01 10
Total number of active participants reported on line 7a of the Form 5500 2011-12-01 6
Number of other retired or separated participants entitled to future benefits 2011-12-01 1
Total of all active and inactive participants 2011-12-01 7
Total participants 2011-12-01 7
Number of participants with account balances 2011-12-01 7
2010: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-12-01 8
Total number of active participants reported on line 7a of the Form 5500 2010-12-01 6
Number of other retired or separated participants entitled to future benefits 2010-12-01 4
Total of all active and inactive participants 2010-12-01 10
Total participants 2010-12-01 10
Number of participants with account balances 2010-12-01 10

Measure	Date	Value
2019: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-12-01	18
Total number of active participants reported on line 7a of the Form 5500	2019-12-01	12
Number of retired or separated participants receiving benefits	2019-12-01	0
Number of other retired or separated participants entitled to future benefits	2019-12-01	3
Total of all active and inactive participants	2019-12-01	15
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-12-01	0
Total participants	2019-12-01	15
Number of participants with account balances	2019-12-01	15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-12-01	1
2018: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-12-01	20
Total number of active participants reported on line 7a of the Form 5500	2018-12-01	11
Number of retired or separated participants receiving benefits	2018-12-01	0
Number of other retired or separated participants entitled to future benefits	2018-12-01	6
Total of all active and inactive participants	2018-12-01	17
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-12-01	0
Total participants	2018-12-01	17
Number of participants with account balances	2018-12-01	17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-12-01	0
2017: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-12-01	20
Total number of active participants reported on line 7a of the Form 5500	2017-12-01	11
Number of retired or separated participants receiving benefits	2017-12-01	0
Number of other retired or separated participants entitled to future benefits	2017-12-01	9
Total of all active and inactive participants	2017-12-01	20
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-12-01	0
Total participants	2017-12-01	20
Number of participants with account balances	2017-12-01	20
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-12-01	1
2016: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-12-01	16
Total number of active participants reported on line 7a of the Form 5500	2016-12-01	7
Number of retired or separated participants receiving benefits	2016-12-01	0
Number of other retired or separated participants entitled to future benefits	2016-12-01	9
Total of all active and inactive participants	2016-12-01	16
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-12-01	0
Total participants	2016-12-01	16
Number of participants with account balances	2016-12-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-12-01	2
2015: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-12-01	14
Total number of active participants reported on line 7a of the Form 5500	2015-12-01	8
Number of retired or separated participants receiving benefits	2015-12-01	0
Number of other retired or separated participants entitled to future benefits	2015-12-01	6
Total of all active and inactive participants	2015-12-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-12-01	0
Total participants	2015-12-01	14
Number of participants with account balances	2015-12-01	14
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-12-01	1
2011: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-12-01	10
Total number of active participants reported on line 7a of the Form 5500	2011-12-01	6
Number of other retired or separated participants entitled to future benefits	2011-12-01	1
Total of all active and inactive participants	2011-12-01	7
Total participants	2011-12-01	7
Number of participants with account balances	2011-12-01	7
2010: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-12-01	8
Total number of active participants reported on line 7a of the Form 5500	2010-12-01	6
Number of other retired or separated participants entitled to future benefits	2010-12-01	4
Total of all active and inactive participants	2010-12-01	10
Total participants	2010-12-01	10
Number of participants with account balances	2010-12-01	10

Financial Data on LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2020 : LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2020 401k financial data
Transfers to/from the plan	2020-11-30	$0
Total plan liabilities at end of year	2020-11-30	$0
Total plan liabilities at beginning of year	2020-11-30	$0
Total income from all sources	2020-11-30	$674,054
Expenses. Total of all expenses incurred	2020-11-30	$50,364
Benefits paid (including direct rollovers)	2020-11-30	$20,957
Total plan assets at end of year	2020-11-30	$3,587,398
Total plan assets at beginning of year	2020-11-30	$2,963,708
Value of fidelity bond covering the plan	2020-11-30	$400,000
Total contributions received or receivable from participants	2020-11-30	$82,454
Expenses. Other expenses not covered elsewhere	2020-11-30	$0
Contributions received from other sources (not participants or employers)	2020-11-30	$0
Other income received	2020-11-30	$479,979
Noncash contributions received	2020-11-30	$0
Net income (gross income less expenses)	2020-11-30	$623,690
Net plan assets at end of year (total assets less liabilities)	2020-11-30	$3,587,398
Net plan assets at beginning of year (total assets less liabilities)	2020-11-30	$2,963,708
Total contributions received or receivable from employer(s)	2020-11-30	$111,621
Value of certain deemed distributions of participant loans	2020-11-30	$29,407
Value of corrective distributions	2020-11-30	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2020-11-30	$0
2019 : LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2019 401k financial data
Transfers to/from the plan	2019-11-30	$0
Total plan liabilities at end of year	2019-11-30	$0
Total plan liabilities at beginning of year	2019-11-30	$0
Total income from all sources	2019-11-30	$525,544
Expenses. Total of all expenses incurred	2019-11-30	$280,791
Benefits paid (including direct rollovers)	2019-11-30	$254,417
Total plan assets at end of year	2019-11-30	$2,963,708
Total plan assets at beginning of year	2019-11-30	$2,718,955
Value of fidelity bond covering the plan	2019-11-30	$400,000
Total contributions received or receivable from participants	2019-11-30	$79,679
Expenses. Other expenses not covered elsewhere	2019-11-30	$0
Contributions received from other sources (not participants or employers)	2019-11-30	$0
Noncash contributions received	2019-11-30	$367,504
Net income (gross income less expenses)	2019-11-30	$244,753
Net plan assets at end of year (total assets less liabilities)	2019-11-30	$2,963,708
Net plan assets at beginning of year (total assets less liabilities)	2019-11-30	$2,718,955
Total contributions received or receivable from employer(s)	2019-11-30	$78,361
Value of certain deemed distributions of participant loans	2019-11-30	$0
Value of corrective distributions	2019-11-30	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2019-11-30	$26,374
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-11-30	$0
2018 : LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-11-30	$0
2017 : LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2017 401k financial data
Transfers to/from the plan	2017-11-30	$0
Total plan liabilities at end of year	2017-11-30	$0
Total plan liabilities at beginning of year	2017-11-30	$0
Total income from all sources	2017-11-30	$466,749
Expenses. Total of all expenses incurred	2017-11-30	$61,786
Benefits paid (including direct rollovers)	2017-11-30	$61,761
Total plan assets at end of year	2017-11-30	$2,578,416
Total plan assets at beginning of year	2017-11-30	$2,173,453
Value of fidelity bond covering the plan	2017-11-30	$195,000
Total contributions received or receivable from participants	2017-11-30	$66,000
Expenses. Other expenses not covered elsewhere	2017-11-30	$0
Contributions received from other sources (not participants or employers)	2017-11-30	$0
Other income received	2017-11-30	$270,966
Noncash contributions received	2017-11-30	$0
Net income (gross income less expenses)	2017-11-30	$404,963
Net plan assets at end of year (total assets less liabilities)	2017-11-30	$2,578,416
Net plan assets at beginning of year (total assets less liabilities)	2017-11-30	$2,173,453
Total contributions received or receivable from employer(s)	2017-11-30	$129,783
Value of certain deemed distributions of participant loans	2017-11-30	$25
Value of corrective distributions	2017-11-30	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-11-30	$0
2016 : LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2016 401k financial data
Transfers to/from the plan	2016-11-30	$0
Total plan liabilities at end of year	2016-11-30	$0
Total plan liabilities at beginning of year	2016-11-30	$0
Total income from all sources	2016-11-30	$255,027
Expenses. Total of all expenses incurred	2016-11-30	$65,964
Benefits paid (including direct rollovers)	2016-11-30	$65,929
Total plan assets at end of year	2016-11-30	$2,173,453
Total plan assets at beginning of year	2016-11-30	$1,984,390
Value of fidelity bond covering the plan	2016-11-30	$195,000
Total contributions received or receivable from participants	2016-11-30	$0
Expenses. Other expenses not covered elsewhere	2016-11-30	$0
Contributions received from other sources (not participants or employers)	2016-11-30	$0
Other income received	2016-11-30	$100,923
Noncash contributions received	2016-11-30	$0
Net income (gross income less expenses)	2016-11-30	$189,063
Net plan assets at end of year (total assets less liabilities)	2016-11-30	$2,173,453
Net plan assets at beginning of year (total assets less liabilities)	2016-11-30	$1,984,390
Total contributions received or receivable from employer(s)	2016-11-30	$154,104
Value of certain deemed distributions of participant loans	2016-11-30	$0
Value of corrective distributions	2016-11-30	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-11-30	$35
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-11-30	$0
2012 : LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-11-30	$37,320
Expenses. Total of all expenses incurred	2012-11-30	$77,430
Benefits paid (including direct rollovers)	2012-11-30	$77,430
Total plan assets at end of year	2012-11-30	$1,631,366
Total plan assets at beginning of year	2012-11-30	$1,671,476
Value of fidelity bond covering the plan	2012-11-30	$195,000
Other income received	2012-11-30	$37,320
Net income (gross income less expenses)	2012-11-30	$-40,110
Net plan assets at end of year (total assets less liabilities)	2012-11-30	$1,631,366
Net plan assets at beginning of year (total assets less liabilities)	2012-11-30	$1,671,476
Assets. Value of assets in partnership/joint-venture interests	2012-11-30	$40,003
2011 : LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-11-30	$231,759
Expenses. Total of all expenses incurred	2011-11-30	$22,499
Benefits paid (including direct rollovers)	2011-11-30	$22,209
Total plan assets at end of year	2011-11-30	$1,671,476
Total plan assets at beginning of year	2011-11-30	$1,455,115
Value of fidelity bond covering the plan	2011-11-30	$195,000
Other income received	2011-11-30	$3,399
Net income (gross income less expenses)	2011-11-30	$209,260
Net plan assets at end of year (total assets less liabilities)	2011-11-30	$1,671,476
Net plan assets at beginning of year (total assets less liabilities)	2011-11-30	$1,455,115
Assets. Value of assets in partnership/joint-venture interests	2011-11-30	$110,071
Total contributions received or receivable from employer(s)	2011-11-30	$228,360
Expenses. Administrative service providers (salaries,fees and commissions)	2011-11-30	$290

Form 5500 Responses for LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN

2019: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-12-01	Type of plan entity	Single employer plan
2019-12-01	Submission has been amended	No
2019-12-01	This submission is the final filing	No
2019-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-12-01	Plan is a collectively bargained plan	No
2019-12-01	Plan funding arrangement – Insurance	Yes
2019-12-01	Plan funding arrangement – Trust	Yes
2019-12-01	Plan benefit arrangement – Insurance	Yes
2019-12-01	Plan benefit arrangement - Trust	Yes
2018: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-12-01	Type of plan entity	Single employer plan
2018-12-01	Submission has been amended	No
2018-12-01	This submission is the final filing	No
2018-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-12-01	Plan is a collectively bargained plan	No
2018-12-01	Plan funding arrangement – Insurance	Yes
2018-12-01	Plan funding arrangement – Trust	Yes
2018-12-01	Plan benefit arrangement – Insurance	Yes
2018-12-01	Plan benefit arrangement - Trust	Yes
2017: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-12-01	Type of plan entity	Single employer plan
2017-12-01	Submission has been amended	No
2017-12-01	This submission is the final filing	No
2017-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-12-01	Plan is a collectively bargained plan	No
2017-12-01	Plan funding arrangement – Insurance	Yes
2017-12-01	Plan funding arrangement – Trust	Yes
2017-12-01	Plan benefit arrangement – Insurance	Yes
2017-12-01	Plan benefit arrangement - Trust	Yes
2016: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-12-01	Type of plan entity	Single employer plan
2016-12-01	Submission has been amended	No
2016-12-01	This submission is the final filing	No
2016-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-12-01	Plan is a collectively bargained plan	No
2016-12-01	Plan funding arrangement – Insurance	Yes
2016-12-01	Plan funding arrangement – Trust	Yes
2016-12-01	Plan benefit arrangement – Insurance	Yes
2016-12-01	Plan benefit arrangement - Trust	Yes
2015: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-12-01	Type of plan entity	Single employer plan
2015-12-01	Submission has been amended	No
2015-12-01	This submission is the final filing	No
2015-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-12-01	Plan is a collectively bargained plan	No
2015-12-01	Plan funding arrangement – Insurance	Yes
2015-12-01	Plan funding arrangement – Trust	Yes
2015-12-01	Plan benefit arrangement – Insurance	Yes
2015-12-01	Plan benefit arrangement - Trust	Yes
2011: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-12-01	Type of plan entity	Single employer plan
2011-12-01	Plan funding arrangement – Trust	Yes
2011-12-01	Plan benefit arrangement - Trust	Yes
2010: LESLIE J. GARFIELD & CO., INC. 401(K) PROFIT SHARING PLAN 2010 form 5500 responses
2010-12-01	Type of plan entity	Single employer plan
2010-12-01	Plan funding arrangement – Trust	Yes
2010-12-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )

Policy contract number

800446

Policy instance

Insurance contract or identification number	800446
Number of Individuals Covered	14
Insurance policy start date	2019-12-01
Insurance policy end date	2020-11-30
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $1,549
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	1549
Additional information about fees paid to insurance broker	TPA COMPENSATION ($1,490) OTHER ($24) TPA FEES PAID ($35)
Insurance broker organization code?	5

JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )

Policy contract number

800446

Policy instance

Insurance contract or identification number	800446
Number of Individuals Covered	15
Insurance policy start date	2018-12-01
Insurance policy end date	2019-11-30
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $1,442
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	1442
Additional information about fees paid to insurance broker	TPA COMPENSATION ($1,341) OTHER ($31) TPA FEES PAID ($70)
Insurance broker organization code?	5

JOHN HANCOCK LIFE INSURANCE COMPANY OF NEW YORK (National Association of Insurance Commissioners NAIC id number: 86375 )

Policy contract number

800446

Policy instance

Insurance contract or identification number	800446
Number of Individuals Covered	13
Insurance policy start date	2017-12-01
Insurance policy end date	2018-11-30
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $3,222
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	LESLIE J. GARFIELD & CO., INC.
Employer identification number (EIN):	132838132
NAIC Classification:	531390
NAIC Description:	Other Activities Related to Real Estate

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	1975-11-07
Company Identification Number:	383660
Legal Registered Office Address:	505 PARK AVENUE New York NEW YORK United States of America (USA) 10022

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2021-12-01	JED GARFIELD	2023-06-27
001	2020-12-01
001	2019-12-01
001	2018-12-01
001	2017-12-01
001	2016-12-01	JED GARFIELD
001	2015-12-01	JED GARFIELD
001	2011-12-01	JED GARFIELD
001	2010-12-01	JED GARFIELD