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THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN 401k Plan overview

Plan NameTHE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN
Plan identification number 002

THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
  • Profit-sharing
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Plan 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.

401k Sponsoring company profile

THE HAMNER INSTITUTES has sponsored the creation of one or more 401k plans.

Company Name:THE HAMNER INSTITUTES
Employer identification number (EIN):203692587
NAIC Classification:541700

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022016-01-01JAMIE H. WILKERSON WILLIAM F. GREENLEE2016-09-29
0022015-01-01JAMIE H. WILKERSON WILLIAM F. GREENLEE2016-09-28
0022014-01-01JAMIE H. WILKERSON WILLIAM F. GREENLEE2015-07-07
0022013-01-01JAMIE H. WILKERSON WILLIAM F. GREENLEE2014-08-25
0022012-01-01JAMIE WILKERSON
0022011-01-01JAMIE H. WILKERSON
0022009-01-01HAMNER INSTITUTES
0022009-01-01WILLIAM GREENLEE
0022009-01-01WILLIAM GREENLEE
0022009-01-01WILLIAM GREENLEE

Plan Statistics for THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN

401k plan membership statisitcs for THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN

Measure Date Value
2016: THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01127
Total number of active participants reported on line 7a of the Form 55002016-01-010
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-010
Total of all active and inactive participants2016-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-010
Number of participants with account balances2016-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01128
Total number of active participants reported on line 7a of the Form 55002015-01-0171
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0156
Total of all active and inactive participants2015-01-01127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01127
Number of participants with account balances2015-01-01121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01123
Total number of active participants reported on line 7a of the Form 55002014-01-0174
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0154
Total of all active and inactive participants2014-01-01128
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01128
Number of participants with account balances2014-01-01121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01150
Total number of active participants reported on line 7a of the Form 55002013-01-0162
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0161
Total of all active and inactive participants2013-01-01123
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01123
Number of participants with account balances2013-01-01121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01143
Total number of active participants reported on line 7a of the Form 55002012-01-0185
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0164
Total of all active and inactive participants2012-01-01149
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01149
Number of participants with account balances2012-01-01139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-017
2011: THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01153
Total number of active participants reported on line 7a of the Form 55002011-01-0181
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0162
Total of all active and inactive participants2011-01-01143
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01143
Number of participants with account balances2011-01-01143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0117
2009: THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01153
Total number of active participants reported on line 7a of the Form 55002009-01-0194
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0155
Total of all active and inactive participants2009-01-01149
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01149
Number of participants with account balances2009-01-01138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN

Measure Date Value
2016 : THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-05-20$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-05-20$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-05-20$0
Total income from all sources (including contributions)2016-05-20$19,879
Total loss/gain on sale of assets2016-05-20$0
Total of all expenses incurred2016-05-20$10,249,119
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-05-20$10,244,830
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-05-20$26,254
Value of total assets at end of year2016-05-20$0
Value of total assets at beginning of year2016-05-20$10,229,240
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-05-20$4,289
Total interest from all sources2016-05-20$12,021
Total dividends received (eg from common stock, registered investment company shares)2016-05-20$7,795
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-05-20Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2016-05-20$0
Total dividends received from registered investment company shares (eg mutual funds)2016-05-20$7,795
Was this plan covered by a fidelity bond2016-05-20Yes
Value of fidelity bond cover2016-05-20$500,000
If this is an individual account plan, was there a blackout period2016-05-20No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-05-20$0
Were there any nonexempt tranactions with any party-in-interest2016-05-20No
Participant contributions at end of year2016-05-20$0
Participant contributions at beginning of year2016-05-20$74,643
Income. Received or receivable in cash from other sources (including rollovers)2016-05-20$3,683
Other income not declared elsewhere2016-05-20$-12,734
Administrative expenses (other) incurred2016-05-20$4,289
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-05-20No
Value of net income/loss2016-05-20$-10,229,240
Value of net assets at end of year (total assets less liabilities)2016-05-20$0
Value of net assets at beginning of year (total assets less liabilities)2016-05-20$10,229,240
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-05-20No
Were any loans by the plan or fixed income obligations due to the plan in default2016-05-20No
Were any leases to which the plan was party in default or uncollectible2016-05-20No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-05-20$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-05-20$5,420,496
Value of interest in pooled separate accounts at end of year2016-05-20$0
Value of interest in pooled separate accounts at beginning of year2016-05-20$849,263
Interest on participant loans2016-05-20$404
Interest earned on other investments2016-05-20$11,617
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-05-20$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-05-20$3,884,838
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-05-20$-19,110
Net investment gain/loss from pooled separate accounts2016-05-20$5,653
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-05-20No
Was there a failure to transmit to the plan any participant contributions2016-05-20No
Has the plan failed to provide any benefit when due under the plan2016-05-20No
Contributions received in cash from employer2016-05-20$22,571
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-05-20$10,244,830
Did the plan have assets held for investment2016-05-20No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-05-20No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-05-20Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-05-20Yes
Opinion of an independent qualified public accountant for this plan2016-05-20Disclaimer
Accountancy firm name2016-05-20DIXON HUGHES GOODMAN LLP
Accountancy firm EIN2016-05-20560747981
2015 : THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS 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$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$877,241
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$1,155,725
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,147,765
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$898,860
Value of total assets at end of year2015-12-31$10,229,240
Value of total assets at beginning of year2015-12-31$10,507,724
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$7,960
Total interest from all sources2015-12-31$41,922
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$59,847
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$59,847
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
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$546,828
Participant contributions at end of year2015-12-31$74,643
Participant contributions at beginning of year2015-12-31$54,018
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$33,690
Administrative expenses (other) incurred2015-12-31$7,960
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-278,484
Value of net assets at end of year (total assets less liabilities)2015-12-31$10,229,240
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$10,507,724
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$5,420,496
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$6,218,018
Value of interest in pooled separate accounts at end of year2015-12-31$849,263
Value of interest in pooled separate accounts at beginning of year2015-12-31$1,302,842
Interest on participant loans2015-12-31$3,085
Interest earned on other investments2015-12-31$38,837
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$3,884,838
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$2,932,846
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-110,676
Net investment gain/loss from pooled separate accounts2015-12-31$-12,712
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$318,342
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,147,765
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 name2015-12-31DIXON HUGHES GOODMAN LLP
Accountancy firm EIN2015-12-31560747981
2014 : THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS 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$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$1,331,170
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$667,425
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$666,410
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$832,216
Value of total assets at end of year2014-12-31$10,507,724
Value of total assets at beginning of year2014-12-31$9,843,979
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$1,015
Total interest from all sources2014-12-31$35,190
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$56,121
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$56,121
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
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$491,201
Participant contributions at end of year2014-12-31$54,018
Participant contributions at beginning of year2014-12-31$33,199
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$17,144
Other income not declared elsewhere2014-12-31$-1
Administrative expenses (other) incurred2014-12-31$1,015
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$663,745
Value of net assets at end of year (total assets less liabilities)2014-12-31$10,507,724
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$9,843,979
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$6,218,018
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$6,408,405
Value of interest in pooled separate accounts at end of year2014-12-31$1,302,842
Value of interest in pooled separate accounts at beginning of year2014-12-31$900,844
Interest on participant loans2014-12-31$1,784
Interest earned on other investments2014-12-31$33,406
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$2,932,846
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$2,501,531
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$328,110
Net investment gain/loss from pooled separate accounts2014-12-31$79,534
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$323,871
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$666,410
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 name2014-12-31DIXON HUGHES GOODMAN LLP
Accountancy firm EIN2014-12-31560747981
2013 : THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS 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$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$2,073,217
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$3,881,942
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$3,879,774
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$816,261
Value of total assets at end of year2013-12-31$9,843,979
Value of total assets at beginning of year2013-12-31$11,652,704
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$2,168
Total interest from all sources2013-12-31$39,920
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$50,995
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$50,995
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
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$442,794
Participant contributions at end of year2013-12-31$33,199
Participant contributions at beginning of year2013-12-31$31,660
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$14,735
Other income not declared elsewhere2013-12-31$-1,144
Administrative expenses (other) incurred2013-12-31$2,168
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$-1,808,725
Value of net assets at end of year (total assets less liabilities)2013-12-31$9,843,979
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$11,652,704
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$6,408,405
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$6,548,478
Value of interest in pooled separate accounts at end of year2013-12-31$900,844
Value of interest in pooled separate accounts at beginning of year2013-12-31$1,107,082
Interest on participant loans2013-12-31$1,273
Interest earned on other investments2013-12-31$38,647
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$2,501,531
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$3,965,484
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$1,118,687
Net investment gain/loss from pooled separate accounts2013-12-31$48,498
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$358,732
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$3,879,774
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 name2013-12-31DIXON HUGHES GOODMAN
Accountancy firm EIN2013-12-31560747981
2012 : THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$1,733,624
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$1,424,854
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,423,673
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$853,784
Value of total assets at end of year2012-12-31$11,652,704
Value of total assets at beginning of year2012-12-31$11,343,934
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$1,181
Total interest from all sources2012-12-31$71,127
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$74,406
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$74,406
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
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$491,366
Participant contributions at end of year2012-12-31$31,660
Participant contributions at beginning of year2012-12-31$91,009
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$8,680
Administrative expenses (other) incurred2012-12-31$1,181
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$308,770
Value of net assets at end of year (total assets less liabilities)2012-12-31$11,652,704
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$11,343,934
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$6,548,478
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$5,810,197
Value of interest in pooled separate accounts at end of year2012-12-31$1,107,082
Value of interest in pooled separate accounts at beginning of year2012-12-31$872,152
Interest on participant loans2012-12-31$1,881
Interest earned on other investments2012-12-31$69,246
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$3,965,484
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$4,570,576
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$734,307
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 contributions2012-12-31Yes
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$353,738
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,423,673
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 name2012-12-31DIXON HUGHES GOODMAN
Accountancy firm EIN2012-12-31560747981
2011 : THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$606,496
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$1,599,858
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,596,965
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,108,577
Value of total assets at end of year2011-12-31$11,343,934
Value of total assets at beginning of year2011-12-31$12,337,296
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$2,893
Total interest from all sources2011-12-31$85,855
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$66,698
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$66,698
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$5,000,000
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$543,956
Participant contributions at end of year2011-12-31$91,009
Participant contributions at beginning of year2011-12-31$94,413
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$155,942
Other income not declared elsewhere2011-12-31$-11
Administrative expenses (other) incurred2011-12-31$2,893
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-993,362
Value of net assets at end of year (total assets less liabilities)2011-12-31$11,343,934
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$12,337,296
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$5,810,197
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$8,022,790
Value of interest in pooled separate accounts at end of year2011-12-31$872,152
Value of interest in pooled separate accounts at beginning of year2011-12-31$937,906
Interest on participant loans2011-12-31$4,277
Interest earned on other investments2011-12-31$81,578
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$4,570,576
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$3,282,187
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-671,310
Net investment gain/loss from pooled separate accounts2011-12-31$16,687
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$408,679
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,596,965
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 name2011-12-31CHERRY, BEKAERT & HOLLAND, LLP
Accountancy firm EIN2011-12-31560574444
2010 : THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total transfer of assets to this plan2010-12-31$2,232,105
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$2,251,864
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$1,156,337
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$1,155,209
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$948,000
Value of total assets at end of year2010-12-31$12,337,296
Value of total assets at beginning of year2010-12-31$9,009,664
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$1,128
Total interest from all sources2010-12-31$18,682
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$129,772
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$129,772
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$5,000,000
If this is an individual account plan, was there a blackout period2010-12-31Yes
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$529,036
Participant contributions at end of year2010-12-31$94,413
Participant contributions at beginning of year2010-12-31$112,227
Participant contributions at end of year2010-12-31$0
Participant contributions at beginning of year2010-12-31$17,635
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$12,841
Other income not declared elsewhere2010-12-31$36,812
Administrative expenses (other) incurred2010-12-31$1,128
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$1,095,527
Value of net assets at end of year (total assets less liabilities)2010-12-31$12,337,296
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$9,009,664
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$8,022,790
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$5,946,308
Value of interest in pooled separate accounts at end of year2010-12-31$937,906
Value of interest in pooled separate accounts at beginning of year2010-12-31$0
Interest on participant loans2010-12-31$5,079
Interest earned on other investments2010-12-31$13,603
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$2,925,108
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$2,925,108
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$3,282,187
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$1,145,592
Net investment gain/loss from pooled separate accounts2010-12-31$-26,994
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 contributions2010-12-31Yes
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$406,123
Employer contributions (assets) at end of year2010-12-31$0
Employer contributions (assets) at beginning of year2010-12-31$8,386
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$1,155,209
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31Yes
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31CHERRY, BEKAERT & HOLLAND, LLP
Accountancy firm EIN2010-12-31560574444

Form 5500 Responses for THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN

2016: THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS 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 filingYes
2016-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS 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: THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS 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: THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS 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: THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS 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: THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS 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
2009: THE HAMNER INSTITUTES EMPLOYEES 401(K) INVESTMENT SAVINGS PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41621
Policy instance 1
Insurance contract or identification number41621
Number of Individuals Covered0
Insurance policy start date2016-01-01
Insurance policy end date2016-05-20
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $5,441
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees5441
Additional information about fees paid to insurance brokerSERVICES TO INSURER OR PLAN
Insurance broker organization code?4
Insurance broker nameAXA NETWORK, LLC
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41621
Policy instance 1
Insurance contract or identification number41621
Number of Individuals Covered127
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $10,848
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees10848
Additional information about fees paid to insurance brokerSERVICES TO INSURER OR PLAN
Insurance broker organization code?4
Insurance broker nameAXA NETWORK, LLC
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41621
Policy instance 1
Insurance contract or identification number41621
Number of Individuals Covered128
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $9,210
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees9210
Additional information about fees paid to insurance brokerSERVICES TO INSURER OR PLAN
Insurance broker organization code?4
Insurance broker nameAXA NETWORK, LLC
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41621
Policy instance 1
Insurance contract or identification number41621
Number of Individuals Covered123
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $9,327
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees9327
Additional information about fees paid to insurance brokerSERVICES TO INSURER OR PLAN
Insurance broker organization code?4
Insurance broker nameAXA NETWORK, LLC
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41621
Policy instance 1
Insurance contract or identification number41621
Number of Individuals Covered149
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 $12,566
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees12566
Additional information about fees paid to insurance brokerSERVICES TO INSURER OR PLAN
Insurance broker organization code?4
Insurance broker nameAXA NETWORK, LLC
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41621
Policy instance 1
Insurance contract or identification number41621
Number of Individuals Covered143
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 $2,763
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number41621
Policy instance 1
Insurance contract or identification number41621
Number of Individuals Covered153
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 $22,669
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees22669
Additional information about fees paid to insurance brokerSERVICES TO INSURER OR PLAN
Insurance broker organization code?4
Insurance broker nameAXA NETWORK, LLC

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