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M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NameM. SIMON ZOOK 401(K) PROFIT SHARING PLAN
Plan identification number 001

M. SIMON ZOOK 401(K) PROFIT SHARING 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
  • 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.

401k Sponsoring company profile

M SIMON ZOOK CO has sponsored the creation of one or more 401k plans.

Company Name:M SIMON ZOOK CO
Employer identification number (EIN):231496543
NAIC Classification:311900
NAIC Description: Other Food Manufacturing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan M. SIMON ZOOK 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012021-11-01
0012020-11-01
0012019-11-01
0012018-11-01SALLY MARTIN2020-08-09
0012017-11-01
0012016-11-01SALLY MARTIN
0012015-11-01SALLY MARTIN
0012014-11-01SALLY MARTIN
0012013-11-01SALLY MARTIN
0012012-11-01SALLY MARTIN
0012011-11-01SALLY MARTIN
0012010-11-01SALLY MARTIN
0012009-11-01SALLY L MARTIN SALLY L MARTIN2011-08-15
0012009-11-01SALLY MARTIN
0012009-11-01SALLY L MARTIN
0012009-11-01SALLY MARTIN
0012008-11-01

Plan Statistics for M. SIMON ZOOK 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for M. SIMON ZOOK 401(K) PROFIT SHARING PLAN

Measure Date Value
2021: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year2021-11-01255
Total number of active participants reported on line 7a of the Form 55002021-11-01214
Number of retired or separated participants receiving benefits2021-11-016
Number of other retired or separated participants entitled to future benefits2021-11-0129
Total of all active and inactive participants2021-11-01249
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-11-010
Total participants2021-11-01249
Number of participants with account balances2021-11-01228
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-11-0116
2020: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year2020-11-01253
Total number of active participants reported on line 7a of the Form 55002020-11-01208
Number of retired or separated participants receiving benefits2020-11-014
Number of other retired or separated participants entitled to future benefits2020-11-0135
Total of all active and inactive participants2020-11-01247
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-11-010
Total participants2020-11-01247
Number of participants with account balances2020-11-01236
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-11-0113
2019: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year2019-11-01247
Total number of active participants reported on line 7a of the Form 55002019-11-01203
Number of retired or separated participants receiving benefits2019-11-0110
Number of other retired or separated participants entitled to future benefits2019-11-0128
Total of all active and inactive participants2019-11-01241
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-11-010
Total participants2019-11-01241
Number of participants with account balances2019-11-01231
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-11-0113
2018: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year2018-11-01267
Total number of active participants reported on line 7a of the Form 55002018-11-01214
Number of retired or separated participants receiving benefits2018-11-0110
Number of other retired or separated participants entitled to future benefits2018-11-0120
Total of all active and inactive participants2018-11-01244
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-11-010
Total participants2018-11-01244
Number of participants with account balances2018-11-01234
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-11-0123
2017: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year2017-11-01239
Total number of active participants reported on line 7a of the Form 55002017-11-01222
Number of retired or separated participants receiving benefits2017-11-010
Number of other retired or separated participants entitled to future benefits2017-11-0129
Total of all active and inactive participants2017-11-01251
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-11-010
Total participants2017-11-01251
Number of participants with account balances2017-11-01243
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-11-0112
2016: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-11-01223
Total number of active participants reported on line 7a of the Form 55002016-11-01209
Number of retired or separated participants receiving benefits2016-11-010
Number of other retired or separated participants entitled to future benefits2016-11-0124
Total of all active and inactive participants2016-11-01233
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-11-010
Total participants2016-11-01233
Number of participants with account balances2016-11-01225
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-11-0111
2015: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-11-01193
Total number of active participants reported on line 7a of the Form 55002015-11-01188
Number of retired or separated participants receiving benefits2015-11-010
Number of other retired or separated participants entitled to future benefits2015-11-0125
Total of all active and inactive participants2015-11-01213
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-11-010
Total participants2015-11-01213
Number of participants with account balances2015-11-01205
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-11-0111
2014: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-11-01163
Total number of active participants reported on line 7a of the Form 55002014-11-01177
Number of retired or separated participants receiving benefits2014-11-010
Number of other retired or separated participants entitled to future benefits2014-11-0110
Total of all active and inactive participants2014-11-01187
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-11-010
Total participants2014-11-01187
Number of participants with account balances2014-11-01177
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-11-010
2013: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-11-01160
Total number of active participants reported on line 7a of the Form 55002013-11-01142
Number of retired or separated participants receiving benefits2013-11-010
Number of other retired or separated participants entitled to future benefits2013-11-0116
Total of all active and inactive participants2013-11-01158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-11-010
Total participants2013-11-01158
Number of participants with account balances2013-11-01158
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-11-015
2012: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-11-01146
Total number of active participants reported on line 7a of the Form 55002012-11-01134
Number of retired or separated participants receiving benefits2012-11-010
Number of other retired or separated participants entitled to future benefits2012-11-019
Total of all active and inactive participants2012-11-01143
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-11-010
Total participants2012-11-01143
Number of participants with account balances2012-11-01132
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-11-015
2011: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-11-01154
Total number of active participants reported on line 7a of the Form 55002011-11-01124
Number of retired or separated participants receiving benefits2011-11-011
Number of other retired or separated participants entitled to future benefits2011-11-0115
Total of all active and inactive participants2011-11-01140
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-11-010
Total participants2011-11-01140
Number of participants with account balances2011-11-01134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-11-0112
2010: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year2010-11-01157
Total number of active participants reported on line 7a of the Form 55002010-11-01129
Number of retired or separated participants receiving benefits2010-11-010
Number of other retired or separated participants entitled to future benefits2010-11-0115
Total of all active and inactive participants2010-11-01144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-11-010
Total participants2010-11-01144
Number of participants with account balances2010-11-01144
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-11-0110
2009: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-11-01174
Total number of active participants reported on line 7a of the Form 55002009-11-01132
Number of retired or separated participants receiving benefits2009-11-018
Number of other retired or separated participants entitled to future benefits2009-11-010
Total of all active and inactive participants2009-11-01140
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-11-010
Total participants2009-11-01140
Number of participants with account balances2009-11-01140
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-11-012

Financial Data on M. SIMON ZOOK 401(K) PROFIT SHARING PLAN

Measure Date Value
2022 : M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-10-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-10-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-10-31$0
Total income from all sources (including contributions)2022-10-31$-1,166,693
Total loss/gain on sale of assets2022-10-31$0
Total of all expenses incurred2022-10-31$1,336,082
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-10-31$1,266,167
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-10-31$549,162
Value of total assets at end of year2022-10-31$6,727,229
Value of total assets at beginning of year2022-10-31$9,230,004
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-10-31$69,915
Total interest from all sources2022-10-31$0
Total dividends received (eg from common stock, registered investment company shares)2022-10-31$593,137
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-10-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-10-31$593,137
Was this plan covered by a fidelity bond2022-10-31Yes
Value of fidelity bond cover2022-10-31$500,000
If this is an individual account plan, was there a blackout period2022-10-31No
Were there any nonexempt tranactions with any party-in-interest2022-10-31No
Contributions received from participants2022-10-31$475,221
Total non interest bearing cash at end of year2022-10-31$3,095
Total non interest bearing cash at beginning of year2022-10-31$820
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-10-31No
Value of net income/loss2022-10-31$-2,502,775
Value of net assets at end of year (total assets less liabilities)2022-10-31$6,727,229
Value of net assets at beginning of year (total assets less liabilities)2022-10-31$9,230,004
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-10-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-10-31No
Were any leases to which the plan was party in default or uncollectible2022-10-31No
Investment advisory and management fees2022-10-31$54,989
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-10-31$5,586,816
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-10-31$8,595,507
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2022-10-31$1,137,318
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2022-10-31$633,677
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2022-10-31$633,677
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-10-31$-2,308,992
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-10-31No
Was there a failure to transmit to the plan any participant contributions2022-10-31No
Has the plan failed to provide any benefit when due under the plan2022-10-31No
Contributions received in cash from employer2022-10-31$73,941
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-10-31$1,266,167
Contract administrator fees2022-10-31$14,926
Did the plan have assets held for investment2022-10-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-10-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-10-31No
Opinion of an independent qualified public accountant for this plan2022-10-31Unqualified
Accountancy firm name2022-10-31STAMBAUGH NESS
Accountancy firm EIN2022-10-31232846715
2021 : M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-10-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-10-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-10-31$0
Total income from all sources (including contributions)2021-10-31$2,618,147
Total loss/gain on sale of assets2021-10-31$0
Total of all expenses incurred2021-10-31$313,852
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-10-31$241,553
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-10-31$625,028
Value of total assets at end of year2021-10-31$9,230,004
Value of total assets at beginning of year2021-10-31$6,925,709
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-10-31$72,299
Total interest from all sources2021-10-31$0
Total dividends received (eg from common stock, registered investment company shares)2021-10-31$320,187
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-10-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-10-31$320,187
Was this plan covered by a fidelity bond2021-10-31Yes
Value of fidelity bond cover2021-10-31$500,000
If this is an individual account plan, was there a blackout period2021-10-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-10-31$0
Were there any nonexempt tranactions with any party-in-interest2021-10-31No
Contributions received from participants2021-10-31$550,396
Total non interest bearing cash at end of year2021-10-31$820
Total non interest bearing cash at beginning of year2021-10-31$571
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-10-31No
Value of net income/loss2021-10-31$2,304,295
Value of net assets at end of year (total assets less liabilities)2021-10-31$9,230,004
Value of net assets at beginning of year (total assets less liabilities)2021-10-31$6,925,709
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-10-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-10-31No
Were any leases to which the plan was party in default or uncollectible2021-10-31No
Investment advisory and management fees2021-10-31$47,520
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-10-31$8,595,507
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-10-31$6,427,233
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2021-10-31$633,677
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2021-10-31$497,905
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2021-10-31$497,905
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-10-31$1,672,932
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-10-31No
Was there a failure to transmit to the plan any participant contributions2021-10-31No
Has the plan failed to provide any benefit when due under the plan2021-10-31No
Contributions received in cash from employer2021-10-31$74,632
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-10-31$241,553
Contract administrator fees2021-10-31$24,779
Did the plan have assets held for investment2021-10-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-10-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-10-31No
Opinion of an independent qualified public accountant for this plan2021-10-31Disclaimer
Accountancy firm name2021-10-31STAMBAUGH NESS
Accountancy firm EIN2021-10-31232846715
2020 : M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-10-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-10-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-10-31$0
Total income from all sources (including contributions)2020-10-31$1,392,738
Total loss/gain on sale of assets2020-10-31$0
Total of all expenses incurred2020-10-31$783,556
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-10-31$723,370
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-10-31$614,548
Value of total assets at end of year2020-10-31$6,925,709
Value of total assets at beginning of year2020-10-31$6,316,527
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-10-31$60,186
Total interest from all sources2020-10-31$0
Total dividends received (eg from common stock, registered investment company shares)2020-10-31$247,023
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-10-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-10-31$247,023
Was this plan covered by a fidelity bond2020-10-31Yes
Value of fidelity bond cover2020-10-31$500,000
If this is an individual account plan, was there a blackout period2020-10-31No
Were there any nonexempt tranactions with any party-in-interest2020-10-31No
Contributions received from participants2020-10-31$540,993
Total non interest bearing cash at end of year2020-10-31$571
Total non interest bearing cash at beginning of year2020-10-31$892
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-10-31No
Value of net income/loss2020-10-31$609,182
Value of net assets at end of year (total assets less liabilities)2020-10-31$6,925,709
Value of net assets at beginning of year (total assets less liabilities)2020-10-31$6,316,527
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-10-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-10-31No
Were any leases to which the plan was party in default or uncollectible2020-10-31No
Investment advisory and management fees2020-10-31$44,029
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-10-31$6,427,233
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-10-31$5,844,814
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2020-10-31$497,905
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2020-10-31$470,821
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2020-10-31$470,821
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-10-31$531,167
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-10-31No
Was there a failure to transmit to the plan any participant contributions2020-10-31No
Has the plan failed to provide any benefit when due under the plan2020-10-31No
Contributions received in cash from employer2020-10-31$73,555
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-10-31$723,370
Contract administrator fees2020-10-31$16,157
Did the plan have assets held for investment2020-10-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-10-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-10-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2020-10-31Yes
Opinion of an independent qualified public accountant for this plan2020-10-31Disclaimer
Accountancy firm name2020-10-31STAMBAUGH NESS
Accountancy firm EIN2020-10-31232846715
2019 : M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-10-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-10-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-10-31$0
Total income from all sources (including contributions)2019-10-31$1,241,196
Total loss/gain on sale of assets2019-10-31$0
Total of all expenses incurred2019-10-31$579,881
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-10-31$523,032
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-10-31$618,768
Value of total assets at end of year2019-10-31$6,316,527
Value of total assets at beginning of year2019-10-31$5,655,212
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-10-31$56,849
Total interest from all sources2019-10-31$0
Total dividends received (eg from common stock, registered investment company shares)2019-10-31$315,786
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-10-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-10-31$315,786
Was this plan covered by a fidelity bond2019-10-31Yes
Value of fidelity bond cover2019-10-31$500,000
If this is an individual account plan, was there a blackout period2019-10-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-10-31$0
Were there any nonexempt tranactions with any party-in-interest2019-10-31No
Contributions received from participants2019-10-31$491,615
Income. Received or receivable in cash from other sources (including rollovers)2019-10-31$58,648
Total non interest bearing cash at end of year2019-10-31$892
Total non interest bearing cash at beginning of year2019-10-31$4,308
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-10-31No
Value of net income/loss2019-10-31$661,315
Value of net assets at end of year (total assets less liabilities)2019-10-31$6,316,527
Value of net assets at beginning of year (total assets less liabilities)2019-10-31$5,655,212
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-10-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-10-31No
Were any leases to which the plan was party in default or uncollectible2019-10-31No
Investment advisory and management fees2019-10-31$39,871
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-10-31$5,844,814
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-10-31$5,197,870
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2019-10-31$470,821
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2019-10-31$453,034
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2019-10-31$453,034
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-10-31$306,642
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-10-31No
Was there a failure to transmit to the plan any participant contributions2019-10-31No
Has the plan failed to provide any benefit when due under the plan2019-10-31No
Contributions received in cash from employer2019-10-31$68,505
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-10-31$523,032
Contract administrator fees2019-10-31$16,978
Did the plan have assets held for investment2019-10-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-10-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-10-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-10-31Yes
Opinion of an independent qualified public accountant for this plan2019-10-31Disclaimer
Accountancy firm name2019-10-31STAMBAUGH NESS
Accountancy firm EIN2019-10-31232846715
2018 : M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-10-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-10-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-10-31$0
Total income from all sources (including contributions)2018-10-31$706,499
Total loss/gain on sale of assets2018-10-31$0
Total of all expenses incurred2018-10-31$447,748
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-10-31$401,965
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-10-31$542,726
Value of total assets at end of year2018-10-31$5,655,212
Value of total assets at beginning of year2018-10-31$5,396,461
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-10-31$45,783
Total interest from all sources2018-10-31$3,250
Total dividends received (eg from common stock, registered investment company shares)2018-10-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-10-31No
Administrative expenses professional fees incurred2018-10-31$10,395
Was this plan covered by a fidelity bond2018-10-31Yes
Value of fidelity bond cover2018-10-31$500,000
If this is an individual account plan, was there a blackout period2018-10-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-10-31$0
Were there any nonexempt tranactions with any party-in-interest2018-10-31No
Contributions received from participants2018-10-31$476,845
Assets. Other investments not covered elsewhere at end of year2018-10-31$0
Assets. Other investments not covered elsewhere at beginning of year2018-10-31$0
Income. Received or receivable in cash from other sources (including rollovers)2018-10-31$0
Administrative expenses (other) incurred2018-10-31$2,666
Total non interest bearing cash at end of year2018-10-31$4,308
Total non interest bearing cash at beginning of year2018-10-31$794
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-10-31No
Income. Non cash contributions2018-10-31$0
Value of net income/loss2018-10-31$258,751
Value of net assets at end of year (total assets less liabilities)2018-10-31$5,655,212
Value of net assets at beginning of year (total assets less liabilities)2018-10-31$5,396,461
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-10-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-10-31No
Were any leases to which the plan was party in default or uncollectible2018-10-31No
Investment advisory and management fees2018-10-31$32,722
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-10-31$5,197,870
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-10-31$4,963,761
Value of interest in pooled separate accounts at end of year2018-10-31$0
Value of interest in pooled separate accounts at beginning of year2018-10-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2018-10-31$453,034
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2018-10-31$431,906
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2018-10-31$431,906
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2018-10-31$3,250
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-10-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-10-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-10-31$160,523
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-10-31No
Was there a failure to transmit to the plan any participant contributions2018-10-31No
Has the plan failed to provide any benefit when due under the plan2018-10-31No
Contributions received in cash from employer2018-10-31$65,881
Employer contributions (assets) at end of year2018-10-31$0
Employer contributions (assets) at beginning of year2018-10-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-10-31$401,965
Did the plan have assets held for investment2018-10-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-10-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-10-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-10-31Yes
Opinion of an independent qualified public accountant for this plan2018-10-31Disclaimer
Accountancy firm name2018-10-31STAMBAUGH NESS, INC
Accountancy firm EIN2018-10-31232846715
2017 : M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-10-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-10-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-10-31$0
Total income from all sources (including contributions)2017-10-31$1,283,182
Total loss/gain on sale of assets2017-10-31$0
Total of all expenses incurred2017-10-31$321,454
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-10-31$276,907
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-10-31$546,434
Value of total assets at end of year2017-10-31$5,396,461
Value of total assets at beginning of year2017-10-31$4,434,733
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-10-31$44,547
Total interest from all sources2017-10-31$2,277
Total dividends received (eg from common stock, registered investment company shares)2017-10-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-10-31No
Administrative expenses professional fees incurred2017-10-31$5,975
Was this plan covered by a fidelity bond2017-10-31Yes
Value of fidelity bond cover2017-10-31$500,000
If this is an individual account plan, was there a blackout period2017-10-31No
Were there any nonexempt tranactions with any party-in-interest2017-10-31No
Contributions received from participants2017-10-31$484,660
Assets. Other investments not covered elsewhere at end of year2017-10-31$0
Assets. Other investments not covered elsewhere at beginning of year2017-10-31$0
Income. Received or receivable in cash from other sources (including rollovers)2017-10-31$2,233
Total non interest bearing cash at end of year2017-10-31$794
Total non interest bearing cash at beginning of year2017-10-31$277
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-10-31No
Value of net income/loss2017-10-31$961,728
Value of net assets at end of year (total assets less liabilities)2017-10-31$5,396,461
Value of net assets at beginning of year (total assets less liabilities)2017-10-31$4,434,733
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-10-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-10-31No
Were any leases to which the plan was party in default or uncollectible2017-10-31No
Investment advisory and management fees2017-10-31$38,572
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-10-31$4,963,761
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-10-31$4,008,819
Value of interest in pooled separate accounts at end of year2017-10-31$0
Value of interest in pooled separate accounts at beginning of year2017-10-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-10-31$431,906
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-10-31$425,637
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-10-31$425,637
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-10-31$2,277
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-10-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-10-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-10-31$734,471
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-10-31No
Was there a failure to transmit to the plan any participant contributions2017-10-31No
Has the plan failed to provide any benefit when due under the plan2017-10-31No
Contributions received in cash from employer2017-10-31$59,541
Employer contributions (assets) at end of year2017-10-31$0
Employer contributions (assets) at beginning of year2017-10-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-10-31$276,907
Did the plan have assets held for investment2017-10-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-10-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-10-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-10-31Yes
Opinion of an independent qualified public accountant for this plan2017-10-31Disclaimer
Accountancy firm name2017-10-31STAMBAUGH NESS, INC
Accountancy firm EIN2017-10-31232846715
2016 : M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-10-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-10-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-10-31$0
Total income from all sources (including contributions)2016-10-31$695,444
Total loss/gain on sale of assets2016-10-31$0
Total of all expenses incurred2016-10-31$221,230
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-10-31$195,387
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-10-31$492,769
Value of total assets at end of year2016-10-31$4,434,733
Value of total assets at beginning of year2016-10-31$3,960,519
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-10-31$25,843
Total interest from all sources2016-10-31$90
Total dividends received (eg from common stock, registered investment company shares)2016-10-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-10-31No
Administrative expenses professional fees incurred2016-10-31$25,843
Was this plan covered by a fidelity bond2016-10-31Yes
Value of fidelity bond cover2016-10-31$500,000
If this is an individual account plan, was there a blackout period2016-10-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-10-31$0
Were there any nonexempt tranactions with any party-in-interest2016-10-31No
Contributions received from participants2016-10-31$433,180
Assets. Other investments not covered elsewhere at end of year2016-10-31$0
Assets. Other investments not covered elsewhere at beginning of year2016-10-31$0
Income. Received or receivable in cash from other sources (including rollovers)2016-10-31$0
Total non interest bearing cash at end of year2016-10-31$277
Total non interest bearing cash at beginning of year2016-10-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-10-31No
Income. Non cash contributions2016-10-31$0
Value of net income/loss2016-10-31$474,214
Value of net assets at end of year (total assets less liabilities)2016-10-31$4,434,733
Value of net assets at beginning of year (total assets less liabilities)2016-10-31$3,960,519
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-10-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-10-31No
Were any leases to which the plan was party in default or uncollectible2016-10-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-10-31$4,008,819
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-10-31$0
Value of interest in pooled separate accounts at end of year2016-10-31$0
Value of interest in pooled separate accounts at beginning of year2016-10-31$2,743,548
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-10-31$425,637
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-10-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-10-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-10-31$90
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-10-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-10-31$1,136,971
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-10-31$202,585
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-10-31No
Was there a failure to transmit to the plan any participant contributions2016-10-31No
Has the plan failed to provide any benefit when due under the plan2016-10-31No
Contributions received in cash from employer2016-10-31$59,589
Employer contributions (assets) at end of year2016-10-31$0
Employer contributions (assets) at beginning of year2016-10-31$80,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-10-31$195,387
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-10-31Yes
Did the plan have assets held for investment2016-10-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-10-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-10-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-10-31Yes
Opinion of an independent qualified public accountant for this plan2016-10-31Disclaimer
Accountancy firm name2016-10-31STAMBAUGH NESS, PC
Accountancy firm EIN2016-10-31232846715
2015 : M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-10-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-10-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-10-31$0
Total income from all sources (including contributions)2015-10-31$556,362
Total loss/gain on sale of assets2015-10-31$0
Total of all expenses incurred2015-10-31$662,047
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-10-31$660,313
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-10-31$466,119
Value of total assets at end of year2015-10-31$3,960,519
Value of total assets at beginning of year2015-10-31$4,066,204
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-10-31$1,734
Total interest from all sources2015-10-31$0
Total dividends received (eg from common stock, registered investment company shares)2015-10-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-10-31No
Administrative expenses professional fees incurred2015-10-31$1,234
Was this plan covered by a fidelity bond2015-10-31Yes
Value of fidelity bond cover2015-10-31$400,000
If this is an individual account plan, was there a blackout period2015-10-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-10-31$0
Were there any nonexempt tranactions with any party-in-interest2015-10-31No
Contributions received from participants2015-10-31$325,112
Assets. Other investments not covered elsewhere at end of year2015-10-31$0
Assets. Other investments not covered elsewhere at beginning of year2015-10-31$0
Income. Received or receivable in cash from other sources (including rollovers)2015-10-31$9,642
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2015-10-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-10-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-10-31$0
Administrative expenses (other) incurred2015-10-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-10-31No
Income. Non cash contributions2015-10-31$0
Value of net income/loss2015-10-31$-105,685
Value of net assets at end of year (total assets less liabilities)2015-10-31$3,960,519
Value of net assets at beginning of year (total assets less liabilities)2015-10-31$4,066,204
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-10-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-10-31No
Were any leases to which the plan was party in default or uncollectible2015-10-31No
Investment advisory and management fees2015-10-31$500
Value of interest in pooled separate accounts at end of year2015-10-31$2,743,548
Value of interest in pooled separate accounts at beginning of year2015-10-31$2,648,024
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-10-31$1,136,971
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-10-31$1,358,180
Expenses. Payments to insurance carriers foe the provision of benefits2015-10-31$0
Net investment gain/loss from pooled separate accounts2015-10-31$90,243
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-10-31No
Was there a failure to transmit to the plan any participant contributions2015-10-31No
Has the plan failed to provide any benefit when due under the plan2015-10-31No
Contributions received in cash from employer2015-10-31$131,365
Employer contributions (assets) at end of year2015-10-31$80,000
Employer contributions (assets) at beginning of year2015-10-31$60,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-10-31$660,313
Contract administrator fees2015-10-31$0
Did the plan have assets held for investment2015-10-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-10-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-10-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-10-31Yes
Opinion of an independent qualified public accountant for this plan2015-10-31Disclaimer
Accountancy firm name2015-10-31STAMBAUGH NESS, PC
Accountancy firm EIN2015-10-31232846715
2014 : M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-10-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-10-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-10-31$762
Total income from all sources (including contributions)2014-10-31$628,769
Total loss/gain on sale of assets2014-10-31$0
Total of all expenses incurred2014-10-31$285,593
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-10-31$283,256
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-10-31$380,631
Value of total assets at end of year2014-10-31$4,066,204
Value of total assets at beginning of year2014-10-31$3,723,790
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-10-31$2,337
Total interest from all sources2014-10-31$0
Total dividends received (eg from common stock, registered investment company shares)2014-10-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-10-31No
Administrative expenses professional fees incurred2014-10-31$1,987
Was this plan covered by a fidelity bond2014-10-31Yes
Value of fidelity bond cover2014-10-31$500,000
If this is an individual account plan, was there a blackout period2014-10-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-10-31$0
Were there any nonexempt tranactions with any party-in-interest2014-10-31No
Contributions received from participants2014-10-31$274,448
Assets. Other investments not covered elsewhere at end of year2014-10-31$0
Assets. Other investments not covered elsewhere at beginning of year2014-10-31$0
Income. Received or receivable in cash from other sources (including rollovers)2014-10-31$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2014-10-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-10-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-10-31$762
Administrative expenses (other) incurred2014-10-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-10-31No
Income. Non cash contributions2014-10-31$0
Value of net income/loss2014-10-31$343,176
Value of net assets at end of year (total assets less liabilities)2014-10-31$4,066,204
Value of net assets at beginning of year (total assets less liabilities)2014-10-31$3,723,028
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-10-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-10-31No
Were any leases to which the plan was party in default or uncollectible2014-10-31No
Investment advisory and management fees2014-10-31$350
Value of interest in pooled separate accounts at end of year2014-10-31$2,648,024
Value of interest in pooled separate accounts at beginning of year2014-10-31$1,361,232
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-10-31$1,358,180
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-10-31$2,362,558
Expenses. Payments to insurance carriers foe the provision of benefits2014-10-31$0
Net investment gain/loss from pooled separate accounts2014-10-31$248,138
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-10-31No
Was there a failure to transmit to the plan any participant contributions2014-10-31No
Has the plan failed to provide any benefit when due under the plan2014-10-31No
Contributions received in cash from employer2014-10-31$106,183
Employer contributions (assets) at end of year2014-10-31$60,000
Employer contributions (assets) at beginning of year2014-10-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-10-31$283,256
Contract administrator fees2014-10-31$0
Did the plan have assets held for investment2014-10-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-10-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-10-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-10-31Yes
Opinion of an independent qualified public accountant for this plan2014-10-31Disclaimer
Accountancy firm name2014-10-31STAMBAUGH NESS, PC
Accountancy firm EIN2014-10-31232846715
2013 : M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-10-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-10-31$762
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-10-31$0
Total income from all sources (including contributions)2013-10-31$742,262
Total loss/gain on sale of assets2013-10-31$0
Total of all expenses incurred2013-10-31$216,467
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-10-31$212,845
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-10-31$317,077
Value of total assets at end of year2013-10-31$3,723,790
Value of total assets at beginning of year2013-10-31$3,197,233
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-10-31$3,622
Total interest from all sources2013-10-31$0
Total dividends received (eg from common stock, registered investment company shares)2013-10-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-10-31No
Administrative expenses professional fees incurred2013-10-31$3,572
Was this plan covered by a fidelity bond2013-10-31Yes
Value of fidelity bond cover2013-10-31$500,000
If this is an individual account plan, was there a blackout period2013-10-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-10-31$0
Were there any nonexempt tranactions with any party-in-interest2013-10-31No
Contributions received from participants2013-10-31$224,880
Assets. Other investments not covered elsewhere at end of year2013-10-31$0
Assets. Other investments not covered elsewhere at beginning of year2013-10-31$0
Income. Received or receivable in cash from other sources (including rollovers)2013-10-31$51,602
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-10-31$762
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-10-31$0
Other income not declared elsewhere2013-10-31$38,570
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-10-31No
Value of net income/loss2013-10-31$525,795
Value of net assets at end of year (total assets less liabilities)2013-10-31$3,723,028
Value of net assets at beginning of year (total assets less liabilities)2013-10-31$3,197,233
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-10-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-10-31No
Were any leases to which the plan was party in default or uncollectible2013-10-31No
Investment advisory and management fees2013-10-31$50
Value of interest in pooled separate accounts at end of year2013-10-31$1,361,232
Value of interest in pooled separate accounts at beginning of year2013-10-31$1,947,415
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-10-31$2,362,558
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-10-31$1,249,794
Net investment gain/loss from pooled separate accounts2013-10-31$386,615
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-10-31No
Was there a failure to transmit to the plan any participant contributions2013-10-31No
Has the plan failed to provide any benefit when due under the plan2013-10-31No
Contributions received in cash from employer2013-10-31$40,595
Employer contributions (assets) at end of year2013-10-31$0
Employer contributions (assets) at beginning of year2013-10-31$24
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-10-31$212,845
Did the plan have assets held for investment2013-10-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-10-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-10-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-10-31Yes
Opinion of an independent qualified public accountant for this plan2013-10-31Disclaimer
Accountancy firm name2013-10-31STAMBAUGH NESS, PC
Accountancy firm EIN2013-10-31232846715
2012 : M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-10-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-10-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-10-31$0
Total income from all sources (including contributions)2012-10-31$474,110
Total loss/gain on sale of assets2012-10-31$0
Total of all expenses incurred2012-10-31$1,013,847
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-10-31$1,007,547
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-10-31$261,910
Value of total assets at end of year2012-10-31$3,197,233
Value of total assets at beginning of year2012-10-31$3,736,970
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-10-31$6,300
Total interest from all sources2012-10-31$0
Total dividends received (eg from common stock, registered investment company shares)2012-10-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-10-31No
Administrative expenses professional fees incurred2012-10-31$6,300
Was this plan covered by a fidelity bond2012-10-31Yes
Value of fidelity bond cover2012-10-31$500,000
If this is an individual account plan, was there a blackout period2012-10-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-10-31$0
Were there any nonexempt tranactions with any party-in-interest2012-10-31No
Contributions received from participants2012-10-31$222,915
Assets. Other investments not covered elsewhere at end of year2012-10-31$0
Assets. Other investments not covered elsewhere at beginning of year2012-10-31$747,884
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2012-10-31$0
Other income not declared elsewhere2012-10-31$37,473
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-10-31No
Value of net income/loss2012-10-31$-539,737
Value of net assets at end of year (total assets less liabilities)2012-10-31$3,197,233
Value of net assets at beginning of year (total assets less liabilities)2012-10-31$3,736,970
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-10-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-10-31No
Were any leases to which the plan was party in default or uncollectible2012-10-31No
Value of interest in pooled separate accounts at end of year2012-10-31$1,947,415
Value of interest in pooled separate accounts at beginning of year2012-10-31$1,693,005
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-10-31$1,249,794
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-10-31$1,236,081
Expenses. Payments to insurance carriers foe the provision of benefits2012-10-31$0
Net investment gain/loss from pooled separate accounts2012-10-31$174,727
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-10-31No
Was there a failure to transmit to the plan any participant contributions2012-10-31No
Has the plan failed to provide any benefit when due under the plan2012-10-31No
Contributions received in cash from employer2012-10-31$38,995
Employer contributions (assets) at end of year2012-10-31$24
Employer contributions (assets) at beginning of year2012-10-31$60,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-10-31$1,007,547
Did the plan have assets held for investment2012-10-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-10-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-10-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-10-31Yes
Opinion of an independent qualified public accountant for this plan2012-10-31Disclaimer
Accountancy firm name2012-10-31STAMBAUGN NESS, PC
Accountancy firm EIN2012-10-31232846715
2011 : M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets2011-10-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2011-10-31$0
Total unrealized appreciation/depreciation of assets2011-10-31$0
Total transfer of assets to this plan2011-10-31$0
Total transfer of assets from this plan2011-10-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-10-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-10-31$0
Expenses. Interest paid2011-10-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022011-10-31$0
Total income from all sources (including contributions)2011-10-31$515,723
Total loss/gain on sale of assets2011-10-31$0
Total of all expenses incurred2011-10-31$346,256
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-10-31$339,006
Expenses. Certain deemed distributions of participant loans2011-10-31$0
Value of total corrective distributions2011-10-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-10-31$302,197
Value of total assets at end of year2011-10-31$3,736,970
Value of total assets at beginning of year2011-10-31$3,567,503
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-10-31$7,250
Total income from rents2011-10-31$0
Total interest from all sources2011-10-31$0
Total dividends received (eg from common stock, registered investment company shares)2011-10-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-10-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-10-31$0
Administrative expenses professional fees incurred2011-10-31$0
Was this plan covered by a fidelity bond2011-10-31Yes
Value of fidelity bond cover2011-10-31$500,000
If this is an individual account plan, was there a blackout period2011-10-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-10-31$0
Were there any nonexempt tranactions with any party-in-interest2011-10-31No
Contributions received from participants2011-10-31$205,750
Assets. Other investments not covered elsewhere at end of year2011-10-31$747,884
Assets. Other investments not covered elsewhere at beginning of year2011-10-31$629,522
Income. Received or receivable in cash from other sources (including rollovers)2011-10-31$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2011-10-31$0
Other income not declared elsewhere2011-10-31$156,691
Administrative expenses (other) incurred2011-10-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-10-31No
Income. Non cash contributions2011-10-31$0
Value of net income/loss2011-10-31$169,467
Value of net assets at end of year (total assets less liabilities)2011-10-31$3,736,970
Value of net assets at beginning of year (total assets less liabilities)2011-10-31$3,567,503
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-10-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-10-31No
Were any leases to which the plan was party in default or uncollectible2011-10-31No
Investment advisory and management fees2011-10-31$7,250
Value of interest in pooled separate accounts at end of year2011-10-31$1,693,005
Value of interest in pooled separate accounts at beginning of year2011-10-31$1,624,282
Interest on participant loans2011-10-31$0
Income. Interest from loans (other than to participants)2011-10-31$0
Interest earned on other investments2011-10-31$0
Income. Interest from US Government securities2011-10-31$0
Income. Interest from corporate debt instruments2011-10-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-10-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-10-31$1,236,081
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-10-31$1,313,369
Expenses. Payments to insurance carriers foe the provision of benefits2011-10-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-10-31$0
Net investment gain/loss from pooled separate accounts2011-10-31$56,835
Net investment gain or loss from common/collective trusts2011-10-31$0
Net gain/loss from 103.12 investment entities2011-10-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-10-31No
Was there a failure to transmit to the plan any participant contributions2011-10-31No
Has the plan failed to provide any benefit when due under the plan2011-10-31No
Contributions received in cash from employer2011-10-31$96,447
Employer contributions (assets) at end of year2011-10-31$60,000
Employer contributions (assets) at beginning of year2011-10-31$330
Income. Dividends from preferred stock2011-10-31$0
Income. Dividends from common stock2011-10-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-10-31$339,006
Contract administrator fees2011-10-31$0
Did the plan have assets held for investment2011-10-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-10-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-10-31No
Aggregate proceeds on sale of assets2011-10-31$0
Aggregate carrying amount (costs) on sale of assets2011-10-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-10-31Yes
Opinion of an independent qualified public accountant for this plan2011-10-31Disclaimer
Accountancy firm name2011-10-31STAMBAUGN NESS, PC
Accountancy firm EIN2011-10-31232846715
2010 : M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-10-31$0

Form 5500 Responses for M. SIMON ZOOK 401(K) PROFIT SHARING PLAN

2021: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2021 form 5500 responses
2021-11-01Type of plan entitySingle employer plan
2021-11-01Submission has been amendedNo
2021-11-01This submission is the final filingNo
2021-11-01This return/report is a short plan year return/report (less than 12 months)No
2021-11-01Plan is a collectively bargained planNo
2021-11-01Plan funding arrangement – TrustYes
2021-11-01Plan benefit arrangement - TrustYes
2020: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2020 form 5500 responses
2020-11-01Type of plan entitySingle employer plan
2020-11-01Submission has been amendedNo
2020-11-01This submission is the final filingNo
2020-11-01This return/report is a short plan year return/report (less than 12 months)No
2020-11-01Plan is a collectively bargained planNo
2020-11-01Plan funding arrangement – TrustYes
2020-11-01Plan benefit arrangement - TrustYes
2019: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-11-01Type of plan entitySingle employer plan
2019-11-01Submission has been amendedNo
2019-11-01This submission is the final filingNo
2019-11-01This return/report is a short plan year return/report (less than 12 months)No
2019-11-01Plan is a collectively bargained planNo
2019-11-01Plan funding arrangement – TrustYes
2019-11-01Plan benefit arrangement - TrustYes
2018: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-11-01Type of plan entitySingle employer plan
2018-11-01Submission has been amendedNo
2018-11-01This submission is the final filingNo
2018-11-01This return/report is a short plan year return/report (less than 12 months)No
2018-11-01Plan is a collectively bargained planNo
2018-11-01Plan funding arrangement – TrustYes
2018-11-01Plan benefit arrangement - TrustYes
2017: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-11-01Type of plan entitySingle employer plan
2017-11-01Submission has been amendedNo
2017-11-01This submission is the final filingNo
2017-11-01This return/report is a short plan year return/report (less than 12 months)No
2017-11-01Plan is a collectively bargained planNo
2017-11-01Plan funding arrangement – TrustYes
2017-11-01Plan benefit arrangement - TrustYes
2016: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-11-01Type of plan entitySingle employer plan
2016-11-01Submission has been amendedNo
2016-11-01This submission is the final filingNo
2016-11-01This return/report is a short plan year return/report (less than 12 months)No
2016-11-01Plan is a collectively bargained planNo
2016-11-01Plan funding arrangement – TrustYes
2016-11-01Plan benefit arrangement - TrustYes
2015: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-11-01Type of plan entitySingle employer plan
2015-11-01Submission has been amendedNo
2015-11-01This submission is the final filingNo
2015-11-01This return/report is a short plan year return/report (less than 12 months)No
2015-11-01Plan is a collectively bargained planNo
2015-11-01Plan funding arrangement – InsuranceYes
2015-11-01Plan funding arrangement – TrustYes
2015-11-01Plan benefit arrangement – InsuranceYes
2015-11-01Plan benefit arrangement - TrustYes
2014: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-11-01Type of plan entitySingle employer plan
2014-11-01Submission has been amendedNo
2014-11-01This submission is the final filingNo
2014-11-01This return/report is a short plan year return/report (less than 12 months)No
2014-11-01Plan is a collectively bargained planNo
2014-11-01Plan funding arrangement – InsuranceYes
2014-11-01Plan funding arrangement – TrustYes
2014-11-01Plan benefit arrangement – InsuranceYes
2014-11-01Plan benefit arrangement - TrustYes
2013: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-11-01Type of plan entitySingle employer plan
2013-11-01Submission has been amendedNo
2013-11-01This submission is the final filingNo
2013-11-01This return/report is a short plan year return/report (less than 12 months)No
2013-11-01Plan is a collectively bargained planNo
2013-11-01Plan funding arrangement – InsuranceYes
2013-11-01Plan funding arrangement – TrustYes
2013-11-01Plan benefit arrangement – InsuranceYes
2013-11-01Plan benefit arrangement - TrustYes
2012: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-11-01Type of plan entitySingle employer plan
2012-11-01Submission has been amendedNo
2012-11-01This submission is the final filingNo
2012-11-01This return/report is a short plan year return/report (less than 12 months)No
2012-11-01Plan is a collectively bargained planNo
2012-11-01Plan funding arrangement – InsuranceYes
2012-11-01Plan funding arrangement – TrustYes
2012-11-01Plan benefit arrangement – InsuranceYes
2012-11-01Plan benefit arrangement - TrustYes
2011: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-11-01Type of plan entitySingle employer plan
2011-11-01Submission has been amendedNo
2011-11-01This submission is the final filingNo
2011-11-01This return/report is a short plan year return/report (less than 12 months)No
2011-11-01Plan is a collectively bargained planNo
2011-11-01Plan funding arrangement – InsuranceYes
2011-11-01Plan funding arrangement – TrustYes
2011-11-01Plan benefit arrangement – InsuranceYes
2011-11-01Plan benefit arrangement - TrustYes
2010: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2010 form 5500 responses
2010-11-01Type of plan entitySingle employer plan
2010-11-01Submission has been amendedNo
2010-11-01This submission is the final filingNo
2010-11-01This return/report is a short plan year return/report (less than 12 months)No
2010-11-01Plan is a collectively bargained planNo
2010-11-01Plan funding arrangement – InsuranceYes
2010-11-01Plan funding arrangement – TrustYes
2010-11-01Plan benefit arrangement – InsuranceYes
2010-11-01Plan benefit arrangement - TrustYes
2009: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-11-01Type of plan entitySingle employer plan
2009-11-01Submission has been amendedNo
2009-11-01This submission is the final filingNo
2009-11-01This return/report is a short plan year return/report (less than 12 months)No
2009-11-01Plan is a collectively bargained planNo
2009-11-01Plan funding arrangement – InsuranceYes
2009-11-01Plan funding arrangement – TrustYes
2009-11-01Plan benefit arrangement – InsuranceYes
2009-11-01Plan benefit arrangement - TrustYes
2008: M. SIMON ZOOK 401(K) PROFIT SHARING PLAN 2008 form 5500 responses
2008-11-01Type of plan entitySingle employer plan
2008-11-01Submission has been amendedNo
2008-11-01This submission is the final filingNo
2008-11-01This return/report is a short plan year return/report (less than 12 months)No
2008-11-01Plan is a collectively bargained planNo

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberGH1536
Policy instance 1
Insurance contract or identification numberGH1536
Number of Individuals Covered190
Insurance policy start date2014-11-01
Insurance policy end date2015-10-31
Total amount of commissions paid to insurance brokerUSD $13,972
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 $13,972
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerCASH COMMISSIONS
Insurance broker organization code?3
Insurance broker nameC.E.S. INSURANCE AGENCY, INC.
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberGH1536
Policy instance 1
Insurance contract or identification numberGH1536
Number of Individuals Covered161
Insurance policy start date2013-11-01
Insurance policy end date2014-10-31
Total amount of commissions paid to insurance brokerUSD $21,133
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 $21,133
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerCASH COMMISSIONS
Insurance broker organization code?3
Insurance broker nameC.E.S. INSURANCE AGENCY, INC.
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberGH1536
Policy instance 1
Insurance contract or identification numberGH1536
Number of Individuals Covered149
Insurance policy start date2012-11-01
Insurance policy end date2013-10-31
Total amount of commissions paid to insurance brokerUSD $25,441
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 $14,443
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerCASH COMMISSIONS
Insurance broker organization code?3
Insurance broker nameC.E.S. INSURANCE AGENCY, INC.
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberGH1536
Policy instance 1
Insurance contract or identification numberGH1536
Number of Individuals Covered155
Insurance policy start date2011-11-01
Insurance policy end date2012-10-31
Total amount of commissions paid to insurance brokerUSD $22,907
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
AVIVA LIFE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 64645 )
Policy contract number100094645
Policy instance 1
Insurance contract or identification number100094645
Number of Individuals Covered2
Insurance policy start date2010-11-01
Insurance policy end date2011-10-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberGH1536
Policy instance 2
Insurance contract or identification numberGH1536
Number of Individuals Covered140
Insurance policy start date2010-11-01
Insurance policy end date2011-10-31
Total amount of commissions paid to insurance brokerUSD $22,520
Total amount of fees paid to insurance companyUSD $12
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

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