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NICHOLAS TRUCKING COMPANY, INC. 401K PLAN 401k Plan overview

Plan NameNICHOLAS TRUCKING COMPANY, INC. 401K PLAN
Plan identification number 002

NICHOLAS TRUCKING COMPANY, INC. 401K 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.
  • 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

NICHOLAS TRUCKING CO., INC. has sponsored the creation of one or more 401k plans.

Company Name:NICHOLAS TRUCKING CO., INC.
Employer identification number (EIN):231904476
NAIC Classification:484200
NAIC Description: Specialized Freight Trucking

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NICHOLAS TRUCKING COMPANY, INC. 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022022-01-01ALEX NICHOLAS2023-05-12
0022021-01-01ALEX NICHOLAS2022-06-29
0022020-01-01ALEX NICHOLAS2021-06-23
0022019-01-01ALEX NICHOLAS2020-07-07
0022018-01-01ALEX NICHOLAS2019-05-30
0022017-01-01ANNETTE SINCAVAGE2018-05-02
0022016-01-01GARY NICHOLAS2017-06-23
0022015-01-01GARY NICHOLAS2016-08-22
0022014-01-01GARY NICHOLAS2015-07-01
0022013-01-01GARY NICHOLAS
0022012-01-01GARY NICHOLAS
0022011-01-01GARY NICHOLAS
0022009-01-01GARY NICHOLAS

Plan Statistics for NICHOLAS TRUCKING COMPANY, INC. 401K PLAN

401k plan membership statisitcs for NICHOLAS TRUCKING COMPANY, INC. 401K PLAN

Measure Date Value
2013: NICHOLAS TRUCKING COMPANY, INC. 401K PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01184
Total number of active participants reported on line 7a of the Form 55002013-01-0159
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0126
Total of all active and inactive participants2013-01-0185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-011
Total participants2013-01-0186
Number of participants with account balances2013-01-0171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: NICHOLAS TRUCKING COMPANY, INC. 401K PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01211
Total number of active participants reported on line 7a of the Form 55002012-01-01104
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0178
Total of all active and inactive participants2012-01-01182
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-012
Total participants2012-01-01184
Number of participants with account balances2012-01-01139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: NICHOLAS TRUCKING COMPANY, INC. 401K PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01211
Total number of active participants reported on line 7a of the Form 55002011-01-01128
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0183
Total of all active and inactive participants2011-01-01211
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01211
Number of participants with account balances2011-01-01155
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: NICHOLAS TRUCKING COMPANY, INC. 401K PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01229
Total number of active participants reported on line 7a of the Form 55002009-01-01139
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0183
Total of all active and inactive participants2009-01-01222
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-011
Total participants2009-01-01223
Number of participants with account balances2009-01-01221
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on NICHOLAS TRUCKING COMPANY, INC. 401K PLAN

Measure Date Value
2013 : NICHOLAS TRUCKING COMPANY, INC. 401K PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$137,597
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$176,016
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$171,716
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$67,090
Value of total assets at end of year2013-12-31$948,955
Value of total assets at beginning of year2013-12-31$987,374
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$4,300
Total interest from all sources2013-12-31$16,289
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
Administrative expenses professional fees incurred2013-12-31$2,850
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$100,000
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$18,540
Participant contributions at end of year2013-12-31$1,665
Participant contributions at beginning of year2013-12-31$1,947
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$-38,419
Value of net assets at end of year (total assets less liabilities)2013-12-31$948,955
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$987,374
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 pooled separate accounts at end of year2013-12-31$394,659
Value of interest in pooled separate accounts at beginning of year2013-12-31$440,799
Interest earned on other investments2013-12-31$16,289
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$541,670
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$529,749
Net investment gain/loss from pooled separate accounts2013-12-31$54,218
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$48,550
Employer contributions (assets) at end of year2013-12-31$10,961
Employer contributions (assets) at beginning of year2013-12-31$14,879
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$171,716
Contract administrator fees2013-12-31$1,450
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 name2013-12-31JH WILLIAMS & COMPANY, LLP
Accountancy firm EIN2013-12-31232015717
2012 : NICHOLAS TRUCKING COMPANY, INC. 401K 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$118,183
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$9,302
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$7,037
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$71,779
Value of total assets at end of year2012-12-31$987,374
Value of total assets at beginning of year2012-12-31$878,493
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$2,265
Total interest from all sources2012-12-31$15,132
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
Administrative expenses professional fees incurred2012-12-31$690
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$400,000
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$18,819
Participant contributions at end of year2012-12-31$1,947
Participant contributions at beginning of year2012-12-31$791
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2012-12-31$807
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$108,881
Value of net assets at end of year (total assets less liabilities)2012-12-31$987,374
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$878,493
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 pooled separate accounts at end of year2012-12-31$440,799
Value of interest in pooled separate accounts at beginning of year2012-12-31$384,018
Interest earned on other investments2012-12-31$15,132
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$529,749
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$484,999
Net investment gain/loss from pooled separate accounts2012-12-31$31,272
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$52,960
Employer contributions (assets) at end of year2012-12-31$14,879
Employer contributions (assets) at beginning of year2012-12-31$8,685
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$6,230
Contract administrator fees2012-12-31$1,575
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 name2012-12-31JH WILLIAMS & COMPANY, LLP
Accountancy firm EIN2012-12-31232015717
2011 : NICHOLAS TRUCKING COMPANY, INC. 401K 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$77,814
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$19,740
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$17,625
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$66,608
Value of total assets at end of year2011-12-31$878,493
Value of total assets at beginning of year2011-12-31$820,419
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$2,115
Total interest from all sources2011-12-31$13,600
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
Administrative expenses professional fees incurred2011-12-31$750
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$400,000
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$16,079
Participant contributions at end of year2011-12-31$791
Participant contributions at beginning of year2011-12-31$183
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$58,074
Value of net assets at end of year (total assets less liabilities)2011-12-31$878,493
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$820,419
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 pooled separate accounts at end of year2011-12-31$384,018
Value of interest in pooled separate accounts at beginning of year2011-12-31$356,849
Interest earned on other investments2011-12-31$13,600
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$484,999
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$449,552
Net investment gain/loss from pooled separate accounts2011-12-31$-2,394
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$50,529
Employer contributions (assets) at end of year2011-12-31$8,685
Employer contributions (assets) at beginning of year2011-12-31$13,835
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$17,625
Contract administrator fees2011-12-31$1,365
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 name2011-12-31JH WILLIAMS & COMPANY, LLP
Accountancy firm EIN2011-12-31232015717
2010 : NICHOLAS TRUCKING COMPANY, INC. 401K PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total transfer of assets from this plan2010-12-31$2,634,997
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$328,492
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$489,923
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$437,924
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$70,165
Value of total assets at end of year2010-12-31$820,419
Value of total assets at beginning of year2010-12-31$3,616,847
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$51,999
Total interest from all sources2010-12-31$69,106
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
Administrative expenses professional fees incurred2010-12-31$19,975
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$400,000
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$16,504
Participant contributions at end of year2010-12-31$183
Participant contributions at beginning of year2010-12-31$2,174
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$-161,431
Value of net assets at end of year (total assets less liabilities)2010-12-31$820,419
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$3,616,847
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 pooled separate accounts at end of year2010-12-31$356,849
Value of interest in pooled separate accounts at beginning of year2010-12-31$1,004,319
Interest earned on other investments2010-12-31$69,106
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$449,552
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$2,588,898
Net investment gain/loss from pooled separate accounts2010-12-31$189,221
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$53,661
Employer contributions (assets) at end of year2010-12-31$13,835
Employer contributions (assets) at beginning of year2010-12-31$21,456
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$437,924
Contract administrator fees2010-12-31$32,024
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 name2010-12-31JH WILLIAMS & COMPANY, LLP
Accountancy firm EIN2010-12-31232015717
2009 : NICHOLAS TRUCKING COMPANY, INC. 401K 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 NICHOLAS TRUCKING COMPANY, INC. 401K PLAN

2013: NICHOLAS TRUCKING COMPANY, INC. 401K PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: NICHOLAS TRUCKING COMPANY, INC. 401K PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: NICHOLAS TRUCKING COMPANY, INC. 401K PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: NICHOLAS TRUCKING COMPANY, INC. 401K PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHQ976
Policy instance 1
Insurance contract or identification numberPHQ976
Number of Individuals Covered86
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $3,730
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 $1,865
Insurance broker organization code?3
Insurance broker nameJOSEPH COMINSKY
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHQ976
Policy instance 1
Insurance contract or identification numberPHQ976
Number of Individuals Covered184
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $3,702
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 $1,851
Insurance broker organization code?3
Insurance broker nameJOSEPH COMINSKY
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHQ976
Policy instance 1
Insurance contract or identification numberPHQ976
Number of Individuals Covered155
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $3,324
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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberPHQ976
Policy instance 1
Insurance contract or identification numberPHQ976
Number of Individuals Covered221
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $13,174
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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