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UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 401k Plan overview

Plan NameUPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN
Plan identification number 006

UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT 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.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

UPSTATE NIAGARA COOPERATIVE, INC. has sponsored the creation of one or more 401k plans.

Company Name:UPSTATE NIAGARA COOPERATIVE, INC.
Employer identification number (EIN):160845625
NAIC Classification:112120
NAIC Description:Dairy Cattle and Milk Production

Additional information about UPSTATE NIAGARA COOPERATIVE, INC.

Jurisdiction of Incorporation: New York Department of State
Incorporation Date: 1960-12-27
Company Identification Number: 134073
Legal Registered Office Address: PO BOX 268
368 PLEASANT VIEW DRIVE
LANCASTER
United States of America (USA)
14086

More information about UPSTATE NIAGARA COOPERATIVE, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0062022-01-01
0062021-01-01
0062020-01-01
0062019-01-01
0062018-01-01
0062017-01-01MICHAEL PATTERSON
0062016-01-01MICHAEL PATTERSON
0062015-01-01EDWARD LUONGO
0062014-01-01EDWARD LUONGO
0062013-01-01EDWARD LUONGO
0062012-01-01EDWARD A. LUONGO
0062011-01-01EDWARD A. LUONGO
0062010-01-01EDWARD A. LUONGO
0062009-01-01EDWARD LUONGO

Plan Statistics for UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN

401k plan membership statisitcs for UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN

Measure Date Value
2022: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-011,200
Total number of active participants reported on line 7a of the Form 55002022-01-01983
Number of retired or separated participants receiving benefits2022-01-015
Number of other retired or separated participants entitled to future benefits2022-01-01416
Total of all active and inactive participants2022-01-011,404
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-011,404
Number of participants with account balances2022-01-011,349
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-018
2021: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-011,002
Total number of active participants reported on line 7a of the Form 55002021-01-01932
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-01126
Total of all active and inactive participants2021-01-011,058
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-0114
Total participants2021-01-011,072
Number of participants with account balances2021-01-01860
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-0160
2020: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01905
Total number of active participants reported on line 7a of the Form 55002020-01-01891
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-01102
Total of all active and inactive participants2020-01-01993
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-019
Total participants2020-01-011,002
Number of participants with account balances2020-01-01823
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0118
2019: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01835
Total number of active participants reported on line 7a of the Form 55002019-01-01815
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0183
Total of all active and inactive participants2019-01-01898
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-017
Total participants2019-01-01905
Number of participants with account balances2019-01-01784
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0137
2018: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01686
Total number of active participants reported on line 7a of the Form 55002018-01-01761
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0170
Total of all active and inactive participants2018-01-01831
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-014
Total participants2018-01-01835
Number of participants with account balances2018-01-01773
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0111
2017: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01437
Total number of active participants reported on line 7a of the Form 55002017-01-01410
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0167
Total of all active and inactive participants2017-01-01477
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-014
Total participants2017-01-01481
Number of participants with account balances2017-01-01423
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0114
2016: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01377
Total number of active participants reported on line 7a of the Form 55002016-01-01368
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0165
Total of all active and inactive participants2016-01-01433
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-014
Total participants2016-01-01437
Number of participants with account balances2016-01-01395
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-018
2015: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01367
Total number of active participants reported on line 7a of the Form 55002015-01-01304
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0168
Total of all active and inactive participants2015-01-01372
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-015
Total participants2015-01-01377
Number of participants with account balances2015-01-01358
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-019
2014: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01351
Total number of active participants reported on line 7a of the Form 55002014-01-01287
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0176
Total of all active and inactive participants2014-01-01363
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-014
Total participants2014-01-01367
Number of participants with account balances2014-01-01349
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-014
2013: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01353
Total number of active participants reported on line 7a of the Form 55002013-01-01273
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0172
Total of all active and inactive participants2013-01-01345
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-016
Total participants2013-01-01351
Number of participants with account balances2013-01-01345
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-018
2012: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01354
Total number of active participants reported on line 7a of the Form 55002012-01-01270
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0178
Total of all active and inactive participants2012-01-01348
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-015
Total participants2012-01-01353
Number of participants with account balances2012-01-01351
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-018
2011: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01328
Total number of active participants reported on line 7a of the Form 55002011-01-01279
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0171
Total of all active and inactive participants2011-01-01350
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-014
Total participants2011-01-01354
Number of participants with account balances2011-01-01347
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01323
Total number of active participants reported on line 7a of the Form 55002010-01-01243
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-0185
Total of all active and inactive participants2010-01-01328
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01328
Number of participants with account balances2010-01-01323
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-014
2009: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01806
Total number of active participants reported on line 7a of the Form 55002009-01-01692
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0186
Total of all active and inactive participants2009-01-01778
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01778
Number of participants with account balances2009-01-01318
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-013

Financial Data on UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN

Measure Date Value
2022 : UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total transfer of assets to this plan2022-12-31$43,041,303
Total transfer of assets from this plan2022-12-31$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$10,250
Total income from all sources (including contributions)2022-12-31$-7,768,181
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$15,469,767
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$15,354,308
Expenses. Certain deemed distributions of participant loans2022-12-31$2,997
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$6,458,407
Value of total assets at end of year2022-12-31$108,043,970
Value of total assets at beginning of year2022-12-31$88,250,865
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$112,462
Total interest from all sources2022-12-31$30,103
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$4,005,785
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$4,005,785
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$2,000,000
If this is an individual account plan, was there a blackout period2022-12-31Yes
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$3,099,237
Participant contributions at end of year2022-12-31$1,474,195
Participant contributions at beginning of year2022-12-31$506,728
Assets. Other investments not covered elsewhere at end of year2022-12-31$1,258,711
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$2,017,017
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$191,547
Administrative expenses (other) incurred2022-12-31$112,462
Total non interest bearing cash at beginning of year2022-12-31$10,250
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-23,237,948
Value of net assets at end of year (total assets less liabilities)2022-12-31$108,043,970
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$88,240,615
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
Assets. partnership/joint venture interests at beginning of year2022-12-31$124,421
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$89,911,061
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$68,593,011
Interest on participant loans2022-12-31$30,103
Value of interest in common/collective trusts at end of year2022-12-31$15,180,198
Value of interest in common/collective trusts at beginning of year2022-12-31$16,806,817
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-15,990,709
Net investment gain or loss from common/collective trusts2022-12-31$-2,271,767
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$3,167,623
Employer contributions (assets) at end of year2022-12-31$219,805
Employer contributions (assets) at beginning of year2022-12-31$192,621
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$15,354,308
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32022-12-31Yes
Liabilities. Value of benefit claims payable at beginning of year2022-12-31$10,250
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 name2022-12-31DOPKINS & COMPANY LLP
Accountancy firm EIN2022-12-31160929175
2021 : UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$10,250
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$9,250
Total income from all sources (including contributions)2021-12-31$15,229,722
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$8,660,814
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$8,571,240
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$6,504,301
Value of total assets at end of year2021-12-31$88,250,865
Value of total assets at beginning of year2021-12-31$81,680,957
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$89,574
Total interest from all sources2021-12-31$22,308
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$2,258,960
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$2,258,960
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$2,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$2,769,734
Participant contributions at end of year2021-12-31$506,728
Participant contributions at beginning of year2021-12-31$431,076
Assets. Other investments not covered elsewhere at end of year2021-12-31$2,017,017
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$2,177,002
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$1,127,677
Other income not declared elsewhere2021-12-31$-23,692
Administrative expenses (other) incurred2021-12-31$77,074
Total non interest bearing cash at end of year2021-12-31$10,250
Total non interest bearing cash at beginning of year2021-12-31$9,250
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$6,568,908
Value of net assets at end of year (total assets less liabilities)2021-12-31$88,240,615
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$81,671,707
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
Assets. partnership/joint venture interests at end of year2021-12-31$124,421
Assets. partnership/joint venture interests at beginning of year2021-12-31$88,580
Investment advisory and management fees2021-12-31$12,500
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$68,593,011
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$60,691,001
Interest on participant loans2021-12-31$22,308
Value of interest in common/collective trusts at end of year2021-12-31$16,806,817
Value of interest in common/collective trusts at beginning of year2021-12-31$18,083,797
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$6,838,638
Net investment gain or loss from common/collective trusts2021-12-31$-370,793
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$2,606,890
Employer contributions (assets) at end of year2021-12-31$192,621
Employer contributions (assets) at beginning of year2021-12-31$200,251
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$8,571,240
Liabilities. Value of benefit claims payable at end of year2021-12-31$10,250
Liabilities. Value of benefit claims payable at beginning of year2021-12-31$9,250
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 name2021-12-31DOPKINS & COMPANY LLP
Accountancy firm EIN2021-12-31160929175
2020 : UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$9,250
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$9,250
Total income from all sources (including contributions)2020-12-31$16,348,183
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$4,953,182
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$4,862,689
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$5,849,279
Value of total assets at end of year2020-12-31$81,680,957
Value of total assets at beginning of year2020-12-31$70,285,956
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$90,493
Total interest from all sources2020-12-31$111,564
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$1,894,293
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$1,894,293
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$2,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$2,631,876
Participant contributions at end of year2020-12-31$431,076
Participant contributions at beginning of year2020-12-31$320,855
Assets. Other investments not covered elsewhere at end of year2020-12-31$2,177,002
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$1,511,342
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$583,889
Other income not declared elsewhere2020-12-31$520,265
Administrative expenses (other) incurred2020-12-31$65,493
Total non interest bearing cash at end of year2020-12-31$9,250
Total non interest bearing cash at beginning of year2020-12-31$9,250
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$11,395,001
Value of net assets at end of year (total assets less liabilities)2020-12-31$81,671,707
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$70,276,706
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
Assets. partnership/joint venture interests at end of year2020-12-31$88,580
Assets. partnership/joint venture interests at beginning of year2020-12-31$15,606
Investment advisory and management fees2020-12-31$25,000
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$60,691,001
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$50,362,252
Interest on participant loans2020-12-31$21,846
Interest earned on other investments2020-12-31$89,718
Value of interest in common/collective trusts at end of year2020-12-31$18,083,797
Value of interest in common/collective trusts at beginning of year2020-12-31$17,892,931
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$6,709,304
Net investment gain or loss from common/collective trusts2020-12-31$1,263,478
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$2,633,514
Employer contributions (assets) at end of year2020-12-31$200,251
Employer contributions (assets) at beginning of year2020-12-31$173,720
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$4,862,689
Liabilities. Value of benefit claims payable at end of year2020-12-31$9,250
Liabilities. Value of benefit claims payable at beginning of year2020-12-31$9,250
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 name2020-12-31DOPKINS & COMPANY LLP
Accountancy firm EIN2020-12-31160929175
2019 : UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2019 401k financial data
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$9,250
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$9,250
Total income from all sources (including contributions)2019-12-31$17,252,317
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$7,895,377
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$7,825,129
Value of total corrective distributions2019-12-31$95
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$5,844,221
Value of total assets at end of year2019-12-31$70,285,956
Value of total assets at beginning of year2019-12-31$60,929,016
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$70,153
Total interest from all sources2019-12-31$10,601
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$1,330,046
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$1,330,046
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$2,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$2,470,040
Participant contributions at end of year2019-12-31$320,855
Participant contributions at beginning of year2019-12-31$105,465
Participant contributions at end of year2019-12-31$0
Participant contributions at beginning of year2019-12-31$124
Assets. Other investments not covered elsewhere at end of year2019-12-31$1,511,342
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$2,922,329
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$757,014
Other income not declared elsewhere2019-12-31$334,331
Administrative expenses (other) incurred2019-12-31$70,153
Total non interest bearing cash at end of year2019-12-31$9,250
Total non interest bearing cash at beginning of year2019-12-31$9,250
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$9,356,940
Value of net assets at end of year (total assets less liabilities)2019-12-31$70,276,706
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$60,919,766
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 leases to which the plan was party in default or uncollectible2019-12-31No
Assets. partnership/joint venture interests at end of year2019-12-31$15,606
Assets. partnership/joint venture interests at beginning of year2019-12-31$14,251
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$50,362,252
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$40,190,180
Interest on participant loans2019-12-31$10,601
Value of interest in common/collective trusts at end of year2019-12-31$17,892,931
Value of interest in common/collective trusts at beginning of year2019-12-31$17,496,144
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$8,293,302
Net investment gain or loss from common/collective trusts2019-12-31$1,439,816
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$2,617,167
Employer contributions (assets) at end of year2019-12-31$173,720
Employer contributions (assets) at beginning of year2019-12-31$191,273
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$7,825,129
Liabilities. Value of benefit claims payable at end of year2019-12-31$9,250
Liabilities. Value of benefit claims payable at beginning of year2019-12-31$9,250
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
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
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31DOPKINS & COMPANY LLP
Accountancy firm EIN2019-12-31160929175
2018 : UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$9,250
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$14,250
Total income from all sources (including contributions)2018-12-31$2,621,551
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$3,170,318
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$3,108,667
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$5,740,499
Value of total assets at end of year2018-12-31$60,929,016
Value of total assets at beginning of year2018-12-31$61,482,783
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$61,651
Total interest from all sources2018-12-31$4,330
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$1,625,708
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$1,625,708
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$2,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$2,288,433
Participant contributions at end of year2018-12-31$105,465
Participant contributions at beginning of year2018-12-31$90,571
Participant contributions at end of year2018-12-31$124
Participant contributions at beginning of year2018-12-31$1,466
Assets. Other investments not covered elsewhere at end of year2018-12-31$2,922,329
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$3,131,620
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$860,512
Other income not declared elsewhere2018-12-31$-295,077
Administrative expenses (other) incurred2018-12-31$61,651
Total non interest bearing cash at end of year2018-12-31$9,250
Total non interest bearing cash at beginning of year2018-12-31$14,250
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-548,767
Value of net assets at end of year (total assets less liabilities)2018-12-31$60,919,766
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$61,468,533
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Assets. partnership/joint venture interests at end of year2018-12-31$14,251
Assets. partnership/joint venture interests at beginning of year2018-12-31$14,656
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$40,190,180
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$38,758,446
Value of interest in common/collective trusts at end of year2018-12-31$17,496,144
Value of interest in common/collective trusts at beginning of year2018-12-31$19,092,048
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2018-12-31$4,330
Expenses. Payments to insurance carriers foe the provision of benefits2018-12-31$26
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-4,334,977
Net investment gain or loss from common/collective trusts2018-12-31$-118,932
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31Yes
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$2,591,554
Employer contributions (assets) at end of year2018-12-31$191,273
Employer contributions (assets) at beginning of year2018-12-31$379,726
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$3,108,641
Liabilities. Value of benefit claims payable at end of year2018-12-31$9,250
Liabilities. Value of benefit claims payable at beginning of year2018-12-31$14,250
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31DOPKINS & COMPANY LLP
Accountancy firm EIN2018-12-31160929175
2017 : UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$14,250
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$9,250
Total income from all sources (including contributions)2017-12-31$11,500,782
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$3,382,338
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$3,343,912
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$4,476,188
Value of total assets at end of year2017-12-31$61,482,783
Value of total assets at beginning of year2017-12-31$53,359,339
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$38,426
Total interest from all sources2017-12-31$4,285
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$1,201,627
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$1,201,627
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$2,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$1,905,181
Participant contributions at end of year2017-12-31$90,571
Participant contributions at beginning of year2017-12-31$110,650
Participant contributions at end of year2017-12-31$1,466
Participant contributions at beginning of year2017-12-31$0
Assets. Other investments not covered elsewhere at end of year2017-12-31$3,131,620
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$3,125,556
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$389,528
Other income not declared elsewhere2017-12-31$420,113
Administrative expenses (other) incurred2017-12-31$13,426
Total non interest bearing cash at end of year2017-12-31$14,250
Total non interest bearing cash at beginning of year2017-12-31$9,250
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$8,118,444
Value of net assets at end of year (total assets less liabilities)2017-12-31$61,468,533
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$53,350,089
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Assets. partnership/joint venture interests at end of year2017-12-31$14,656
Assets. partnership/joint venture interests at beginning of year2017-12-31$8,061
Investment advisory and management fees2017-12-31$25,000
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$38,758,446
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$23,948,969
Interest on participant loans2017-12-31$4,285
Value of interest in common/collective trusts at end of year2017-12-31$19,092,048
Value of interest in common/collective trusts at beginning of year2017-12-31$26,040,626
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$4,086,199
Net investment gain or loss from common/collective trusts2017-12-31$1,312,370
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$2,181,479
Employer contributions (assets) at end of year2017-12-31$379,726
Employer contributions (assets) at beginning of year2017-12-31$116,227
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$3,343,912
Liabilities. Value of benefit claims payable at end of year2017-12-31$14,250
Liabilities. Value of benefit claims payable at beginning of year2017-12-31$9,250
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31DOPKINS & COMPANY LLP
Accountancy firm EIN2017-12-31160929175
2016 : UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total transfer of assets from this plan2016-12-31$552,122
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$9,250
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$7,250
Total income from all sources (including contributions)2016-12-31$6,835,967
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$3,568,610
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$3,533,679
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$3,601,636
Value of total assets at end of year2016-12-31$53,359,339
Value of total assets at beginning of year2016-12-31$50,642,104
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$34,931
Total interest from all sources2016-12-31$4,854
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$660,398
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$660,398
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$2,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$1,821,121
Participant contributions at end of year2016-12-31$110,650
Participant contributions at beginning of year2016-12-31$127,320
Assets. Other investments not covered elsewhere at end of year2016-12-31$3,125,556
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$2,682,227
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$14,253
Other income not declared elsewhere2016-12-31$372,355
Administrative expenses (other) incurred2016-12-31$3,681
Total non interest bearing cash at end of year2016-12-31$9,250
Total non interest bearing cash at beginning of year2016-12-31$7,250
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$3,267,357
Value of net assets at end of year (total assets less liabilities)2016-12-31$53,350,089
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$50,634,854
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Assets. partnership/joint venture interests at end of year2016-12-31$8,061
Assets. partnership/joint venture interests at beginning of year2016-12-31$0
Investment advisory and management fees2016-12-31$31,250
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$23,948,969
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$23,090,233
Interest on participant loans2016-12-31$4,854
Value of interest in common/collective trusts at end of year2016-12-31$26,040,626
Value of interest in common/collective trusts at beginning of year2016-12-31$24,622,314
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$1,515,434
Net investment gain or loss from common/collective trusts2016-12-31$681,290
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$1,766,262
Employer contributions (assets) at end of year2016-12-31$116,227
Employer contributions (assets) at beginning of year2016-12-31$112,760
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$3,533,679
Liabilities. Value of benefit claims payable at end of year2016-12-31$9,250
Liabilities. Value of benefit claims payable at beginning of year2016-12-31$7,250
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31DOPKINS & COMPANY LLP
Accountancy firm EIN2016-12-31160929175
2015 : UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 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$7,250
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$7,250
Total income from all sources (including contributions)2015-12-31$2,310,818
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$2,644,964
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$2,619,574
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$3,273,522
Value of total assets at end of year2015-12-31$50,642,104
Value of total assets at beginning of year2015-12-31$50,976,250
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$25,390
Total interest from all sources2015-12-31$4,314
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$919,255
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$919,255
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$2,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
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
Contributions received from participants2015-12-31$1,641,567
Participant contributions at end of year2015-12-31$127,320
Participant contributions at beginning of year2015-12-31$102,820
Assets. Other investments not covered elsewhere at end of year2015-12-31$2,682,227
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$3,227,983
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$39,107
Other income not declared elsewhere2015-12-31$-484,289
Administrative expenses (other) incurred2015-12-31$6,640
Total non interest bearing cash at end of year2015-12-31$7,250
Total non interest bearing cash at beginning of year2015-12-31$7,250
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-334,146
Value of net assets at end of year (total assets less liabilities)2015-12-31$50,634,854
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$50,969,000
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
Assets. partnership/joint venture interests at end of year2015-12-31$0
Assets. partnership/joint venture interests at beginning of year2015-12-31$152,467
Investment advisory and management fees2015-12-31$18,750
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$23,090,233
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$22,014,550
Interest on participant loans2015-12-31$4,314
Value of interest in common/collective trusts at end of year2015-12-31$24,622,314
Value of interest in common/collective trusts at beginning of year2015-12-31$25,384,346
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-1,260,549
Net investment gain or loss from common/collective trusts2015-12-31$-141,435
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
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
Contributions received in cash from employer2015-12-31$1,592,848
Employer contributions (assets) at end of year2015-12-31$112,760
Employer contributions (assets) at beginning of year2015-12-31$86,834
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$2,619,574
Liabilities. Value of benefit claims payable at end of year2015-12-31$7,250
Liabilities. Value of benefit claims payable at beginning of year2015-12-31$7,250
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 name2015-12-31DOPKINS & COMPANY LLP
Accountancy firm EIN2015-12-31160929175
2014 : UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 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$7,250
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$5,950
Total income from all sources (including contributions)2014-12-31$6,000,772
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$3,892,898
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$3,855,839
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$3,257,284
Value of total assets at end of year2014-12-31$50,976,250
Value of total assets at beginning of year2014-12-31$48,867,076
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$37,059
Total interest from all sources2014-12-31$616,838
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$1,229,905
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$1,229,905
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$2,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
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
Contributions received from participants2014-12-31$1,654,425
Participant contributions at end of year2014-12-31$102,820
Participant contributions at beginning of year2014-12-31$122,238
Assets. Other investments not covered elsewhere at end of year2014-12-31$3,227,983
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$3,511,146
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$18,101
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$5,950
Other income not declared elsewhere2014-12-31$26,288
Administrative expenses (other) incurred2014-12-31$2,059
Total non interest bearing cash at end of year2014-12-31$7,250
Total non interest bearing cash at beginning of year2014-12-31$5,950
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$2,107,874
Value of net assets at end of year (total assets less liabilities)2014-12-31$50,969,000
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$48,861,126
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
Assets. partnership/joint venture interests at end of year2014-12-31$152,467
Assets. partnership/joint venture interests at beginning of year2014-12-31$144,529
Investment advisory and management fees2014-12-31$35,000
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$22,014,550
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$20,431,025
Interest on participant loans2014-12-31$4,714
Interest earned on other investments2014-12-31$612,124
Value of interest in common/collective trusts at end of year2014-12-31$25,384,346
Value of interest in common/collective trusts at beginning of year2014-12-31$24,577,867
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$142,759
Net investment gain or loss from common/collective trusts2014-12-31$727,698
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
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
Contributions received in cash from employer2014-12-31$1,584,758
Employer contributions (assets) at end of year2014-12-31$86,834
Employer contributions (assets) at beginning of year2014-12-31$74,321
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$3,855,839
Liabilities. Value of benefit claims payable at end of year2014-12-31$7,250
Liabilities. Value of benefit claims payable at beginning of year2014-12-31$0
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 name2014-12-31DOPKINS & COMPANY LLP
Accountancy firm EIN2014-12-31160929175
2013 : UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 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$5,950
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$7,489,381
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$966,199
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$939,183
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$3,266,726
Value of total assets at end of year2013-12-31$48,867,076
Value of total assets at beginning of year2013-12-31$42,337,944
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$27,016
Total interest from all sources2013-12-31$640,602
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$666,210
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$666,210
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$2,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
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
Contributions received from participants2013-12-31$1,645,187
Participant contributions at end of year2013-12-31$122,238
Participant contributions at beginning of year2013-12-31$112,616
Assets. Other investments not covered elsewhere at end of year2013-12-31$3,511,146
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$2,398,391
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$68,953
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$5,950
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$0
Other income not declared elsewhere2013-12-31$577,922
Administrative expenses (other) incurred2013-12-31$2,016
Total non interest bearing cash at end of year2013-12-31$5,950
Total non interest bearing cash at beginning of year2013-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$6,523,182
Value of net assets at end of year (total assets less liabilities)2013-12-31$48,861,126
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$42,337,944
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
Assets. partnership/joint venture interests at end of year2013-12-31$144,529
Assets. partnership/joint venture interests at beginning of year2013-12-31$154,183
Investment advisory and management fees2013-12-31$25,000
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$20,431,025
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$16,048,666
Interest on participant loans2013-12-31$4,717
Interest earned on other investments2013-12-31$635,885
Value of interest in common/collective trusts at end of year2013-12-31$24,577,867
Value of interest in common/collective trusts at beginning of year2013-12-31$23,555,429
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$2,886,338
Net investment gain or loss from common/collective trusts2013-12-31$-548,417
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
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$1,552,586
Employer contributions (assets) at end of year2013-12-31$74,321
Employer contributions (assets) at beginning of year2013-12-31$68,659
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$939,183
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 name2013-12-31DOPKINS & COMPANY LLP
Accountancy firm EIN2013-12-31160929175
2012 : UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total transfer of assets to this plan2012-12-31$0
Total transfer of assets from this plan2012-12-31$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$6,866,491
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$2,229,634
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$2,188,092
Value of total corrective distributions2012-12-31$147
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$3,373,411
Value of total assets at end of year2012-12-31$42,337,944
Value of total assets at beginning of year2012-12-31$37,701,087
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$41,395
Total interest from all sources2012-12-31$681,124
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$450,392
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$450,392
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$2,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
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
Contributions received from participants2012-12-31$1,503,590
Participant contributions at end of year2012-12-31$112,616
Participant contributions at beginning of year2012-12-31$115,273
Assets. Other investments not covered elsewhere at end of year2012-12-31$2,398,391
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$1,976,324
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$398,348
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$8,192
Other income not declared elsewhere2012-12-31$341,402
Administrative expenses (other) incurred2012-12-31$28,895
Total non interest bearing cash at end of year2012-12-31$0
Total non interest bearing cash at beginning of year2012-12-31$1,545
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$4,636,857
Value of net assets at end of year (total assets less liabilities)2012-12-31$42,337,944
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$37,701,087
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
Assets. partnership/joint venture interests at end of year2012-12-31$154,183
Assets. partnership/joint venture interests at beginning of year2012-12-31$57,818
Investment advisory and management fees2012-12-31$12,500
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$16,048,666
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$13,570,711
Value of interest in pooled separate accounts at end of year2012-12-31$0
Value of interest in pooled separate accounts at beginning of year2012-12-31$19,390,793
Interest on participant loans2012-12-31$5,045
Interest earned on other investments2012-12-31$676,079
Value of interest in common/collective trusts at end of year2012-12-31$23,555,429
Value of interest in common/collective trusts at beginning of year2012-12-31$2,552,237
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$1,501,208
Net investment gain/loss from pooled separate accounts2012-12-31$0
Net investment gain or loss from common/collective trusts2012-12-31$518,954
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
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$1,471,473
Employer contributions (assets) at end of year2012-12-31$68,659
Employer contributions (assets) at beginning of year2012-12-31$28,194
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$2,188,092
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 name2012-12-31DOPKINS & COMPANY LLP
Accountancy firm EIN2012-12-31160929175
2011 : UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total transfer of assets to this plan2011-12-31$0
Total transfer of assets from this plan2011-12-31$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$3,566,732
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$3,849,631
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$3,818,492
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$3,045,311
Value of total assets at end of year2011-12-31$37,701,087
Value of total assets at beginning of year2011-12-31$37,983,986
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$31,139
Total interest from all sources2011-12-31$6,846
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$220,208
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$220,208
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$2,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
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
Contributions received from participants2011-12-31$1,363,310
Participant contributions at end of year2011-12-31$115,273
Participant contributions at beginning of year2011-12-31$145,150
Assets. Other investments not covered elsewhere at end of year2011-12-31$1,976,324
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$1,985,111
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$373,521
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$8,192
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$9,201
Other income not declared elsewhere2011-12-31$-156,742
Administrative expenses (other) incurred2011-12-31$31,139
Total non interest bearing cash at end of year2011-12-31$1,545
Total non interest bearing cash at beginning of year2011-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-282,899
Value of net assets at end of year (total assets less liabilities)2011-12-31$37,701,087
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$37,983,986
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
Assets. partnership/joint venture interests at end of year2011-12-31$57,818
Assets. partnership/joint venture interests at beginning of year2011-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$13,570,711
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$14,200,070
Value of interest in pooled separate accounts at end of year2011-12-31$19,390,793
Value of interest in pooled separate accounts at beginning of year2011-12-31$19,126,664
Interest on participant loans2011-12-31$6,846
Value of interest in common/collective trusts at end of year2011-12-31$2,552,237
Value of interest in common/collective trusts at beginning of year2011-12-31$2,495,669
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-885,039
Net investment gain/loss from pooled separate accounts2011-12-31$1,379,231
Net investment gain or loss from common/collective trusts2011-12-31$-43,083
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
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$1,308,480
Employer contributions (assets) at end of year2011-12-31$28,194
Employer contributions (assets) at beginning of year2011-12-31$22,121
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$3,818,492
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 name2011-12-31DOPKINS & COMPANY LLP
Accountancy firm EIN2011-12-31160929175
2010 : UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 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$6,324,878
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$3,386,042
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$3,359,988
Value of total corrective distributions2010-12-31$40
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$2,556,847
Value of total assets at end of year2010-12-31$37,983,986
Value of total assets at beginning of year2010-12-31$35,045,150
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$26,014
Total interest from all sources2010-12-31$10,988
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$158,524
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$158,524
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$2,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
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
Contributions received from participants2010-12-31$1,319,890
Participant contributions at end of year2010-12-31$145,150
Participant contributions at beginning of year2010-12-31$183,382
Participant contributions at beginning of year2010-12-31$18,356
Assets. Other investments not covered elsewhere at end of year2010-12-31$1,985,111
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$1,320,380
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$710
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$9,201
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$9,161
Other income not declared elsewhere2010-12-31$360,050
Administrative expenses (other) incurred2010-12-31$26,014
Total non interest bearing cash at end of year2010-12-31$0
Total non interest bearing cash at beginning of year2010-12-31$200
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$2,938,836
Value of net assets at end of year (total assets less liabilities)2010-12-31$37,983,986
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$35,045,150
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
Assets. partnership/joint venture interests at end of year2010-12-31$0
Assets. partnership/joint venture interests at beginning of year2010-12-31$55,029
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$14,200,070
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$11,940,557
Value of interest in pooled separate accounts at end of year2010-12-31$19,126,664
Value of interest in pooled separate accounts at beginning of year2010-12-31$19,364,378
Interest on participant loans2010-12-31$10,988
Value of interest in common/collective trusts at end of year2010-12-31$2,495,669
Value of interest in common/collective trusts at beginning of year2010-12-31$2,117,831
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$1,719,249
Net investment gain/loss from pooled separate accounts2010-12-31$1,213,281
Net investment gain or loss from common/collective trusts2010-12-31$305,939
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
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$1,236,247
Employer contributions (assets) at end of year2010-12-31$22,121
Employer contributions (assets) at beginning of year2010-12-31$35,876
Income. Dividends from preferred stock2010-12-31$0
Income. Dividends from common stock2010-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$3,359,988
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
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
Aggregate proceeds on sale of assets2010-12-31$0
Aggregate carrying amount (costs) on sale of assets2010-12-31$0
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 name2010-12-31DOPKINS & COMPANY LLP
Accountancy firm EIN2010-12-31160929175
2009 : UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 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 UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN

2022: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedYes
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 planYes
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: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 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 filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
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: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT 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: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT 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: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT 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: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT 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 – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT 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 – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT PLAN 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: UPSTATE NIAGARA COOPERATIVE, INC. RETIREMENT 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 – 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 ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number062116
Policy instance 1
Insurance contract or identification number062116
Number of Individuals Covered130
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
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?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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number062116
Policy instance 1
Insurance contract or identification number062116
Number of Individuals Covered130
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number062116
Policy instance 1
Insurance contract or identification number062116
Number of Individuals Covered103
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number062116
Policy instance 1
Insurance contract or identification number062116
Number of Individuals Covered104
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number062116
Policy instance 1
Insurance contract or identification number062116
Number of Individuals Covered119
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number062116
Policy instance 1
Insurance contract or identification number062116
Number of Individuals Covered106
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number062116
Policy instance 1
Insurance contract or identification number062116
Number of Individuals Covered137
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number062116
Policy instance 1
Insurance contract or identification number062116
Number of Individuals Covered147
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number062116
Policy instance 1
Insurance contract or identification number062116
Number of Individuals Covered160
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number062116
Policy instance 1
Insurance contract or identification number062116
Number of Individuals Covered168
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number062116
Policy instance 1
Insurance contract or identification number062116
Number of Individuals Covered194
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number062116
Policy instance 1
Insurance contract or identification number062116
Number of Individuals Covered194
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No

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