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COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) PLAN 401k Plan overview

Plan NameCOUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) PLAN
Plan identification number 001

COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) 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.
  • 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.
  • Health (other than dental or vision)
  • Life insurance

401k Sponsoring company profile

COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM, INC has sponsored the creation of one or more 401k plans.

Company Name:COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM, INC
Employer identification number (EIN):161122628
NAIC Classification:621420
NAIC Description:Outpatient Mental Health and Substance Abuse Centers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012021-01-01PENNY GREENE2021-09-23
0012020-01-01PENNY GREENE2021-07-15
0012019-01-01PENNY GREENE2020-07-10
0012018-01-01PHYLISA SOVA2019-06-20
0012017-01-01CHRISTOPH PAIGE2018-06-06
0012016-01-01CHRISTOPHER PAIGE2017-10-11 CHRISTOPHER PAIGE2017-10-11
0012015-01-01
0012014-01-01DEBORAH BILLS2015-10-12
0012013-01-01DEBORAH BILLS2015-02-20
0012012-01-01DEBORAH BJLLS
0012011-01-01DEBORAH BILLS
0012010-01-01DEBORAH BILLS
0012009-01-01DEBORAH BILLS

Plan Statistics for COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) PLAN

401k plan membership statisitcs for COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) PLAN

Measure Date Value
2012: COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-0112
Total number of active participants reported on line 7a of the Form 55002012-01-0119
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-010
Total of all active and inactive participants2012-01-0119
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-0119
Number of participants with account balances2012-01-019
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-0112
Total number of active participants reported on line 7a of the Form 55002011-01-0112
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-010
Total of all active and inactive participants2011-01-0112
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-0112
Number of participants with account balances2011-01-019
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-0110
Total number of active participants reported on line 7a of the Form 55002010-01-0111
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-011
Total of all active and inactive participants2010-01-0112
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-0112
Number of participants with account balances2010-01-019
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-018
Total number of active participants reported on line 7a of the Form 55002009-01-019
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-011
Total of all active and inactive participants2009-01-0110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-0110
Number of participants with account balances2009-01-018
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) PLAN

Measure Date Value
2012 : COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) PLAN 2012 401k financial data
Transfers to/from the plan2012-12-31$0
Total plan liabilities at end of year2012-12-31$0
Total plan liabilities at beginning of year2012-12-31$0
Total income from all sources2012-12-31$53,600
Expenses. Total of all expenses incurred2012-12-31$0
Benefits paid (including direct rollovers)2012-12-31$0
Total plan assets at end of year2012-12-31$764,361
Total plan assets at beginning of year2012-12-31$710,761
Value of fidelity bond covering the plan2012-12-31$100,000
Assets. Value of tangible personal property2012-12-31$0
Total contributions received or receivable from participants2012-12-31$34,051
Assets. Value of loans (other than to participants)2012-12-31$0
Expenses. Other expenses not covered elsewhere2012-12-31$0
Contributions received from other sources (not participants or employers)2012-12-31$0
Other income received2012-12-31$-1,429
Noncash contributions received2012-12-31$0
Net income (gross income less expenses)2012-12-31$53,600
Net plan assets at end of year (total assets less liabilities)2012-12-31$764,361
Net plan assets at beginning of year (total assets less liabilities)2012-12-31$710,761
Assets. Value of participant loans2012-12-31$18,966
Value of loans by the plan or fixed income obligations due to the plan which were in default or classified as uncollectible at the close of the plan year2012-12-31$0
Value of leases to which the plan was a party in default or classified as uncollectible during the plan year2012-12-31$0
Assets. Value of assets in partnership/joint-venture interests2012-12-31$0
Assets. Value of real-estate (other than employer real property)2012-12-31$0
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-1022012-12-31$0
Assets. Value of employer securities2012-12-31$0
Assets. Value of employer real property2012-12-31$0
Total contributions received or receivable from employer(s)2012-12-31$20,978
Value of certain deemed distributions of participant loans2012-12-31$0
Value of corrective distributions2012-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2012-12-31$0
2011 : COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) PLAN 2011 401k financial data
Transfers to/from the plan2011-12-31$0
Total plan liabilities at end of year2011-12-31$0
Total plan liabilities at beginning of year2011-12-31$0
Total income from all sources2011-12-31$44,393
Expenses. Total of all expenses incurred2011-12-31$342
Benefits paid (including direct rollovers)2011-12-31$0
Total plan assets at end of year2011-12-31$710,761
Total plan assets at beginning of year2011-12-31$666,700
Value of fidelity bond covering the plan2011-12-31$100,000
Assets. Value of tangible personal property2011-12-31$0
Total contributions received or receivable from participants2011-12-31$31,163
Assets. Value of loans (other than to participants)2011-12-31$0
Expenses. Other expenses not covered elsewhere2011-12-31$342
Contributions received from other sources (not participants or employers)2011-12-31$0
Other income received2011-12-31$-7,363
Noncash contributions received2011-12-31$0
Net income (gross income less expenses)2011-12-31$44,051
Net plan assets at end of year (total assets less liabilities)2011-12-31$710,761
Net plan assets at beginning of year (total assets less liabilities)2011-12-31$666,700
Assets. Value of participant loans2011-12-31$4,878
Value of loans by the plan or fixed income obligations due to the plan which were in default or classified as uncollectible at the close of the plan year2011-12-31$0
Value of leases to which the plan was a party in default or classified as uncollectible during the plan year2011-12-31$0
Assets. Value of assets in partnership/joint-venture interests2011-12-31$0
Assets. Value of real-estate (other than employer real property)2011-12-31$0
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-1022011-12-31$0
Assets. Value of employer securities2011-12-31$0
Assets. Value of employer real property2011-12-31$0
Total contributions received or receivable from employer(s)2011-12-31$20,593
Value of certain deemed distributions of participant loans2011-12-31$0
Value of corrective distributions2011-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2011-12-31$0
2010 : COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) PLAN 2010 401k financial data
Transfers to/from the plan2010-12-31$0
Total plan liabilities at end of year2010-12-31$0
Total plan liabilities at beginning of year2010-12-31$0
Total income from all sources2010-12-31$111,003
Expenses. Total of all expenses incurred2010-12-31$206
Benefits paid (including direct rollovers)2010-12-31$0
Total plan assets at end of year2010-12-31$666,377
Total plan assets at beginning of year2010-12-31$555,580
Value of fidelity bond covering the plan2010-12-31$100,000
Assets. Value of tangible personal property2010-12-31$0
Total contributions received or receivable from participants2010-12-31$26,256
Assets. Value of loans (other than to participants)2010-12-31$0
Expenses. Other expenses not covered elsewhere2010-12-31$206
Contributions received from other sources (not participants or employers)2010-12-31$0
Other income received2010-12-31$67,369
Noncash contributions received2010-12-31$0
Net income (gross income less expenses)2010-12-31$110,797
Net plan assets at end of year (total assets less liabilities)2010-12-31$666,377
Net plan assets at beginning of year (total assets less liabilities)2010-12-31$555,580
Assets. Value of participant loans2010-12-31$2,183
Value of loans by the plan or fixed income obligations due to the plan which were in default or classified as uncollectible at the close of the plan year2010-12-31$0
Value of leases to which the plan was a party in default or classified as uncollectible during the plan year2010-12-31$0
Assets. Value of assets in partnership/joint-venture interests2010-12-31$0
Assets. Value of real-estate (other than employer real property)2010-12-31$0
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-1022010-12-31$0
Assets. Value of employer securities2010-12-31$0
Assets. Value of employer real property2010-12-31$0
Total contributions received or receivable from employer(s)2010-12-31$17,378
Value of certain deemed distributions of participant loans2010-12-31$0
Value of corrective distributions2010-12-31$0
Expenses. Administrative service providers (salaries,fees and commissions)2010-12-31$0

Form 5500 Responses for COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) PLAN

2012: COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) 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: COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) 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: COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) 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: COUNTY OF OSWEGO COUNCIL ON ALCOHOLISM 401(K) 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

NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number21917
Policy instance 1
Insurance contract or identification number21917
Number of Individuals Covered9
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $662
Total amount of fees paid to insurance companyUSD $1,237
Are there contracts with allocated funds for individual policies?Yes
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?Yes
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
Welfare Benefit Premiums Paid to CarrierUSD $0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Other information about contractINDIVIDUAL VARRIABLE ANNUITIES
Commission paid to Insurance BrokerUSD $247
Amount paid for insurance broker fees638
Additional information about fees paid to insurance brokerSERVICE FEES
Insurance broker organization code?3
Insurance broker nameRICHARD PAUL DODD
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number21917
Policy instance 1
Insurance contract or identification number21917
Number of Individuals Covered9
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $96
Total amount of fees paid to insurance companyUSD $1,549
Are there contracts with allocated funds for individual policies?Yes
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?Yes
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
Welfare Benefit Premiums Paid to CarrierUSD $0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Other information about contractINDIVIDUAL VARIABLE ANNUITIES
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract number21917
Policy instance 1
Insurance contract or identification number21917
Number of Individuals Covered9
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $51
Total amount of fees paid to insurance companyUSD $1,335
Are there contracts with allocated funds for individual policies?Yes
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?Yes
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
Welfare Benefit Premiums Paid to CarrierUSD $0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Other information about contractINDIVIDUAL VARIABLE ANNUITIES
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees11
Additional information about fees paid to insurance brokerSERVICE FEE
Insurance broker organization code?3
Insurance broker nameSUSAN SCHRIEVER

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