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THE ROCK SOLID 401(K) PLAN 401k Plan overview

Plan NameTHE ROCK SOLID 401(K) PLAN
Plan identification number 001

THE ROCK SOLID 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.
  • 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

ROCK-IT CARGO USA LLC has sponsored the creation of one or more 401k plans.

Company Name:ROCK-IT CARGO USA LLC
Employer identification number (EIN):203879208
NAIC Classification:488990

Additional information about ROCK-IT CARGO USA LLC

Jurisdiction of Incorporation: Texas Secretary of State
Incorporation Date: 2010-01-27
Company Identification Number: 0801223023
Legal Registered Office Address: 1002 LITITZ PIKE

LITITZ
United States of America (USA)
17543

More information about ROCK-IT CARGO USA LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE ROCK SOLID 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012017-01-01GARY YOST
0012016-01-01GARY YOST
0012015-01-01ANDREW R. DIETZ
0012014-01-01ANDREW DIETZ
0012013-01-01ANDREW DIETZ
0012012-01-01ANDREW R. DIETZ
0012011-01-01ANDREW DIETZ
0012009-01-01ANDREW DIETZ

Plan Statistics for THE ROCK SOLID 401(K) PLAN

401k plan membership statisitcs for THE ROCK SOLID 401(K) PLAN

Measure Date Value
2017: THE ROCK SOLID 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01590
Total number of active participants reported on line 7a of the Form 55002017-01-01551
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0186
Total of all active and inactive participants2017-01-01637
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01637
Number of participants with account balances2017-01-01610
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0119
2016: THE ROCK SOLID 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01589
Total number of active participants reported on line 7a of the Form 55002016-01-01510
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0157
Total of all active and inactive participants2016-01-01567
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01567
Number of participants with account balances2016-01-01406
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-018
2015: THE ROCK SOLID 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01235
Total number of active participants reported on line 7a of the Form 55002015-01-01490
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0189
Total of all active and inactive participants2015-01-01579
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01579
Number of participants with account balances2015-01-01431
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0111
2014: THE ROCK SOLID 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01229
Total number of active participants reported on line 7a of the Form 55002014-01-01206
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0122
Total of all active and inactive participants2014-01-01228
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01228
Number of participants with account balances2014-01-01163
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-016
2013: THE ROCK SOLID 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01219
Total number of active participants reported on line 7a of the Form 55002013-01-01201
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0123
Total of all active and inactive participants2013-01-01224
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01224
Number of participants with account balances2013-01-01163
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-019
2012: THE ROCK SOLID 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01195
Total number of active participants reported on line 7a of the Form 55002012-01-01205
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0114
Total of all active and inactive participants2012-01-01219
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01219
Number of participants with account balances2012-01-01145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-013
2011: THE ROCK SOLID 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01167
Total number of active participants reported on line 7a of the Form 55002011-01-01180
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0115
Total of all active and inactive participants2011-01-01195
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01195
Number of participants with account balances2011-01-01132
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-013
2009: THE ROCK SOLID 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01195
Total number of active participants reported on line 7a of the Form 55002009-01-01166
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0110
Total of all active and inactive participants2009-01-01176
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01176
Number of participants with account balances2009-01-01138
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-016

Financial Data on THE ROCK SOLID 401(K) PLAN

Measure Date Value
2017 : THE ROCK SOLID 401(K) 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$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$10,030,325
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$1,162,790
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$1,034,040
Value of total corrective distributions2017-12-31$7,779
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$4,529,489
Value of total assets at end of year2017-12-31$36,261,280
Value of total assets at beginning of year2017-12-31$27,393,745
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$120,971
Total interest from all sources2017-12-31$79,109
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$374,395
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$374,395
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
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$3,242,574
Participant contributions at end of year2017-12-31$134,472
Participant contributions at beginning of year2017-12-31$220,807
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$94,359
Other income not declared elsewhere2017-12-31$39,639
Administrative expenses (other) incurred2017-12-31$120,971
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$8,867,535
Value of net assets at end of year (total assets less liabilities)2017-12-31$36,261,280
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$27,393,745
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$31,058,644
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$22,938,131
Interest on participant loans2017-12-31$9,268
Interest earned on other investments2017-12-31$69,841
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$5,068,164
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$4,234,807
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$5,007,693
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 contributions2017-12-31Yes
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$1,192,556
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$1,034,040
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 name2017-12-31TROUT, EBERSOLE & GROFF, LLP.
Accountancy firm EIN2017-12-31231551315
2016 : THE ROCK SOLID 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$5,166,220
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$2,430,143
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$2,296,808
Value of total corrective distributions2016-12-31$66,146
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$3,240,702
Value of total assets at end of year2016-12-31$27,393,745
Value of total assets at beginning of year2016-12-31$24,657,668
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$67,189
Total interest from all sources2016-12-31$57,112
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$346,160
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$346,160
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
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$2,368,450
Participant contributions at end of year2016-12-31$220,807
Participant contributions at beginning of year2016-12-31$325,422
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$107,881
Other income not declared elsewhere2016-12-31$33,134
Administrative expenses (other) incurred2016-12-31$67,189
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$2,736,077
Value of net assets at end of year (total assets less liabilities)2016-12-31$27,393,745
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$24,657,668
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$22,938,131
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$22,166,347
Interest on participant loans2016-12-31$15,083
Interest earned on other investments2016-12-31$42,029
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$4,234,807
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$2,165,899
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$1,489,112
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 contributions2016-12-31Yes
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$764,371
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$2,296,808
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 name2016-12-31TROUT, EBERSOLE & GROFF, LLP.
Accountancy firm EIN2016-12-31231551315
2015 : THE ROCK SOLID 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total transfer of assets to this plan2015-12-31$6,837,552
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$1,953,233
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$748,172
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$701,425
Value of total corrective distributions2015-12-31$14,860
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$1,866,195
Value of total assets at end of year2015-12-31$24,657,668
Value of total assets at beginning of year2015-12-31$16,615,055
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$31,887
Total interest from all sources2015-12-31$59,091
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$170,164
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$170,164
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$1,361,358
Participant contributions at end of year2015-12-31$325,422
Participant contributions at beginning of year2015-12-31$251,268
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$54,990
Other income not declared elsewhere2015-12-31$33
Administrative expenses (other) incurred2015-12-31$31,887
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$1,205,061
Value of net assets at end of year (total assets less liabilities)2015-12-31$24,657,668
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$16,615,055
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$22,166,347
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$14,920,172
Value of interest in pooled separate accounts at end of year2015-12-31$0
Value of interest in pooled separate accounts at beginning of year2015-12-31$0
Interest on participant loans2015-12-31$14,920
Interest earned on other investments2015-12-31$44,171
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$2,165,899
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$1,443,615
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-142,250
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$449,847
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$701,425
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 name2015-12-31TROUT, EBERSOLE & GROFF, LLP.
Accountancy firm EIN2015-12-31231551315
2014 : THE ROCK SOLID 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total transfer of assets to this plan2014-12-31$0
Total transfer of assets from this plan2014-12-31$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$2,054,606
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$1,314,985
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$1,284,064
Value of total corrective distributions2014-12-31$28,821
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$1,426,898
Value of total assets at end of year2014-12-31$16,615,055
Value of total assets at beginning of year2014-12-31$15,875,434
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$2,100
Total interest from all sources2014-12-31$11,897
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
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$1,071,339
Participant contributions at end of year2014-12-31$251,268
Participant contributions at beginning of year2014-12-31$262,539
Other income not declared elsewhere2014-12-31$615,811
Administrative expenses (other) incurred2014-12-31$2,100
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$739,621
Value of net assets at end of year (total assets less liabilities)2014-12-31$16,615,055
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$15,875,434
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$14,920,172
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$14,314,361
Interest on participant loans2014-12-31$11,897
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$1,443,615
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$1,298,534
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$355,559
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$1,284,064
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 name2014-12-31MAYER HOFFMAN MCCANN P.C.
Accountancy firm EIN2014-12-31431947695
2013 : THE ROCK SOLID 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total transfer of assets to this plan2013-12-31$409,381
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$4,097,529
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$811,932
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$802,375
Value of total corrective distributions2013-12-31$8,257
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,504,091
Value of total assets at end of year2013-12-31$15,875,468
Value of total assets at beginning of year2013-12-31$12,180,490
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$1,300
Total interest from all sources2013-12-31$12,502
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
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$1,147,211
Participant contributions at end of year2013-12-31$262,573
Participant contributions at beginning of year2013-12-31$278,467
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$3,795
Other income not declared elsewhere2013-12-31$2,580,936
Administrative expenses (other) incurred2013-12-31$1,300
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$3,285,597
Value of net assets at end of year (total assets less liabilities)2013-12-31$15,875,468
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$12,180,490
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$14,314,361
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$10,427,127
Interest on participant loans2013-12-31$12,502
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$1,298,534
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$1,474,896
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$353,085
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$802,375
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 name2013-12-31MAYER HOFFMAN MCCANN P.C.
Accountancy firm EIN2013-12-31431947695
2012 : THE ROCK SOLID 401(K) 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$2,680,076
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$283,466
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$281,600
Expenses. Certain deemed distributions of participant loans2012-12-31$41
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,253,827
Value of total assets at end of year2012-12-31$12,180,490
Value of total assets at beginning of year2012-12-31$9,783,880
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$1,825
Total interest from all sources2012-12-31$12,494
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
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$951,178
Participant contributions at end of year2012-12-31$278,467
Participant contributions at beginning of year2012-12-31$224,415
Other income not declared elsewhere2012-12-31$1,413,755
Administrative expenses (other) incurred2012-12-31$1,825
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$2,396,610
Value of net assets at end of year (total assets less liabilities)2012-12-31$12,180,490
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$9,783,880
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$10,427,127
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$8,282,286
Interest on participant loans2012-12-31$12,494
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$1,474,896
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$1,277,179
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$302,649
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$281,600
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 name2012-12-31MAYER HOFFMAN MCCANN P.C.
Accountancy firm EIN2012-12-31431947695
2011 : THE ROCK SOLID 401(K) 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$606,955
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$244,732
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$242,744
Expenses. Certain deemed distributions of participant loans2011-12-31$63
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,150,156
Value of total assets at end of year2011-12-31$9,783,880
Value of total assets at beginning of year2011-12-31$9,421,657
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$1,925
Total interest from all sources2011-12-31$13,742
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
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$873,716
Participant contributions at end of year2011-12-31$224,415
Participant contributions at beginning of year2011-12-31$254,325
Other income not declared elsewhere2011-12-31$-556,943
Administrative expenses (other) incurred2011-12-31$1,925
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$362,223
Value of net assets at end of year (total assets less liabilities)2011-12-31$9,783,880
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$9,421,657
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$8,282,286
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$8,278,630
Interest on participant loans2011-12-31$13,742
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$1,277,179
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$888,702
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$276,440
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$242,744
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 name2011-12-31MAYER HOFFMAN MCCANN P.C.
Accountancy firm EIN2011-12-31431947695
2010 : THE ROCK SOLID 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total transfer of assets from this plan2010-12-31$463,900
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$2,067,770
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$574,209
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$571,255
Expenses. Certain deemed distributions of participant loans2010-12-31$1,204
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,032,386
Value of total assets at end of year2010-12-31$9,421,657
Value of total assets at beginning of year2010-12-31$8,391,996
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$1,750
Total interest from all sources2010-12-31$12,517
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
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$782,806
Participant contributions at end of year2010-12-31$254,325
Participant contributions at beginning of year2010-12-31$196,817
Other income not declared elsewhere2010-12-31$1,022,867
Administrative expenses (other) incurred2010-12-31$1,750
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$1,493,561
Value of net assets at end of year (total assets less liabilities)2010-12-31$9,421,657
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$8,391,996
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$8,278,630
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$8,195,179
Interest on participant loans2010-12-31$12,517
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$888,702
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$249,580
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$571,255
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 name2010-12-31MAYER HOFFMAN MCCANN P.C
Accountancy firm EIN2010-12-31431947695
2009 : THE ROCK SOLID 401(K) 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 THE ROCK SOLID 401(K) PLAN

2017: THE ROCK SOLID 401(K) 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: THE ROCK SOLID 401(K) 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: THE ROCK SOLID 401(K) 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 ROCK SOLID 401(K) 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 benefit arrangement – InsuranceYes
2013: THE ROCK SOLID 401(K) 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 benefit arrangement – InsuranceYes
2012: THE ROCK SOLID 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 benefit arrangement – InsuranceYes
2011: THE ROCK SOLID 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 benefit arrangement – InsuranceYes
2009: THE ROCK SOLID 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 benefit arrangement – InsuranceYes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number074387
Policy instance 1
Insurance contract or identification number074387
Number of Individuals Covered637
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
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?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
SUNAMERICA ANNUITY AND LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 60941 )
Policy contract numberP35A8Q00133
Policy instance 1
Insurance contract or identification numberP35A8Q00133
Number of Individuals Covered0
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 $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number074387
Policy instance 2
Insurance contract or identification number074387
Number of Individuals Covered579
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 $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
SUNAMERICA ANNUITY AND LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 60941 )
Policy contract numberP35A8Q00133
Policy instance 1
Insurance contract or identification numberP35A8Q00133
Number of Individuals Covered228
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $39,811
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $39,811
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameTHE O N EQUITY SALES COMPANY
SUNAMERICA ANNUITY AND LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 60941 )
Policy contract numberP35A8Q00133
Policy instance 1
Insurance contract or identification numberP35A8Q00133
Number of Individuals Covered224
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $53,159
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $53,159
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameTHE O N EQUITY SALES COMPANY
SUNAMERICA ANNUITY AND LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 60941 )
Policy contract numberP35A8Q00133
Policy instance 1
Insurance contract or identification numberP35A8Q00133
Number of Individuals Covered219
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $37,654
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $37,654
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameTHE O N EQUITY SALES COMPANY
SUNAMERICA ANNUITY AND LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 60941 )
Policy contract numberP35A8Q00133
Policy instance 1
Insurance contract or identification numberP35A8Q00133
Number of Individuals Covered195
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $34,643
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
SUNAMERICA ANNUITY AND LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 60941 )
Policy contract numberP35A8Q00133
Policy instance 1
Insurance contract or identification numberP35A8Q00133
Number of Individuals Covered167
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $31,062
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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