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EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 401k Plan overview

Plan NameEMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL
Plan identification number 002

EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 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 403(b)(1) arrangement - See Limited Pension Plan Reporting instructions for Code section 403(b)(1) arrangements for certain exempt organizations.
  • Code section 403(b)(7) accounts - See Limited Pension Plan Reporting instructions for Code section 403(b)(7) custodial accounts for regulated investment company stock for certain exempt organizations.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

THE NORTH CENTRAL PENNSYLVANIA REGIONAL PLANNING & DEV. COMMISSION has sponsored the creation of one or more 401k plans.

Company Name:THE NORTH CENTRAL PENNSYLVANIA REGIONAL PLANNING & DEV. COMMISSION
Employer identification number (EIN):251190341
NAIC Classification:813000
NAIC Description: Religious, Grantmaking, Civic, Professional, and Similar Organizations

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022022-01-01SAMANTHA MITCHELL2023-09-22
0022021-01-01SAMANTHA MITCHELL2022-05-27 SAMANTHA MITCHELL2022-05-27
0022020-01-01CHERYL DEPANFILIS2021-07-23 CHERYL DEPANFILIS2021-07-23
0022019-01-01CHERYL DEPANFILIS2020-07-29 CHERYL DEPANFILIS2020-07-29
0022018-01-01CHERYL DEPANFILIS2019-10-09
0022017-01-01CHERYL DEPANFILIS
0022016-01-01CHERYL DEPANFILIS CHERYL DEPANFILIS2017-10-11
0022015-01-01CHERYL DEPANFILIS CHERYL DEPANFILIS2016-10-13
0022014-01-01CHERYL DEPANFILIS
0022013-01-01CHERYL DEPANFILIS
0022012-01-01CHERYL DEPANFILIS
0022011-01-01CHERYL DEPANFILIS
0022010-01-01BARBARA A.LEITZEL

Plan Statistics for EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL

401k plan membership statisitcs for EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL

Measure Date Value
2017: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2017 401k membership
Total participants, beginning-of-year2017-01-01101
Total number of active participants reported on line 7a of the Form 55002017-01-0150
Number of retired or separated participants receiving benefits2017-01-0137
Number of other retired or separated participants entitled to future benefits2017-01-0115
Total of all active and inactive participants2017-01-01102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01102
Number of participants with account balances2017-01-01102
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-014
2016: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2016 401k membership
Total participants, beginning-of-year2016-01-01107
Total number of active participants reported on line 7a of the Form 55002016-01-0163
Number of retired or separated participants receiving benefits2016-01-013
Number of other retired or separated participants entitled to future benefits2016-01-0141
Total of all active and inactive participants2016-01-01107
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01107
Number of participants with account balances2016-01-01107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2015 401k membership
Total participants, beginning-of-year2015-01-01105
Total number of active participants reported on line 7a of the Form 55002015-01-0163
Number of retired or separated participants receiving benefits2015-01-013
Number of other retired or separated participants entitled to future benefits2015-01-0141
Total of all active and inactive participants2015-01-01107
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01107
Number of participants with account balances2015-01-01107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2014 401k membership
Total participants, beginning-of-year2014-01-01106
Total number of active participants reported on line 7a of the Form 55002014-01-0162
Number of retired or separated participants receiving benefits2014-01-012
Number of other retired or separated participants entitled to future benefits2014-01-0142
Total of all active and inactive participants2014-01-01106
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01106
Number of participants with account balances2014-01-01105
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-011
2013: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2013 401k membership
Total participants, beginning-of-year2013-01-01108
Total number of active participants reported on line 7a of the Form 55002013-01-0164
Number of retired or separated participants receiving benefits2013-01-011
Number of other retired or separated participants entitled to future benefits2013-01-014
Total of all active and inactive participants2013-01-0169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-0169
Number of participants with account balances2013-01-0169
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2012 401k membership
Total participants, beginning-of-year2012-01-01104
Total number of active participants reported on line 7a of the Form 55002012-01-0167
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0141
Total of all active and inactive participants2012-01-01108
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01108
Number of participants with account balances2012-01-01108
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2011 401k membership
Total participants, beginning-of-year2011-01-01111
Total number of active participants reported on line 7a of the Form 55002011-01-0164
Number of other retired or separated participants entitled to future benefits2011-01-0140
Total of all active and inactive participants2011-01-01104
Total participants2011-01-01104
Number of participants with account balances2011-01-01104
2010: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2010 401k membership
Total participants, beginning-of-year2010-01-01110
Total number of active participants reported on line 7a of the Form 55002010-01-0185
Number of other retired or separated participants entitled to future benefits2010-01-0125
Total of all active and inactive participants2010-01-01110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-011
Total participants2010-01-01111
Number of participants with account balances2010-01-01111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010

Financial Data on EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL

Measure Date Value
2017 : EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$1,301,711
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$629,147
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$608,227
Expenses. Certain deemed distributions of participant loans2017-12-31$18,757
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$385,334
Value of total assets at end of year2017-12-31$11,182,764
Value of total assets at beginning of year2017-12-31$10,510,200
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$2,163
Total interest from all sources2017-12-31$296,208
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$216,499
Participant contributions at end of year2017-12-31$145,330
Participant contributions at beginning of year2017-12-31$149,147
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$4,157
Administrative expenses (other) incurred2017-12-31$2,163
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$672,564
Value of net assets at end of year (total assets less liabilities)2017-12-31$11,182,764
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$10,510,200
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$4,023,328
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$3,401,357
Interest on participant loans2017-12-31$5,017
Interest earned on other investments2017-12-31$291,191
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$7,014,106
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$6,959,696
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$620,169
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$164,678
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$608,227
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN2017-12-31390859910
2016 : EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$941,279
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$848,912
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$846,186
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$461,546
Value of total assets at end of year2016-12-31$10,510,200
Value of total assets at beginning of year2016-12-31$10,417,833
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$2,726
Total interest from all sources2016-12-31$155,644
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$256,231
Participant contributions at end of year2016-12-31$149,147
Participant contributions at beginning of year2016-12-31$161,799
Administrative expenses (other) incurred2016-12-31$2,726
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$92,367
Value of net assets at end of year (total assets less liabilities)2016-12-31$10,510,200
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$10,417,833
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$3,401,357
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$3,035,634
Interest on participant loans2016-12-31$4,620
Interest earned on other investments2016-12-31$151,024
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$6,959,696
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$7,220,400
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$204,068
Net investment gain/loss from pooled separate accounts2016-12-31$120,021
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$205,315
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$846,186
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31BAKER TILLY VIRCHOW KRAUSE LLP
Accountancy firm EIN2016-12-31390859910
2015 : EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$717,405
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$297,282
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$280,758
Expenses. Certain deemed distributions of participant loans2015-12-31$13,691
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$521,051
Value of total assets at end of year2015-12-31$10,417,833
Value of total assets at beginning of year2015-12-31$9,997,710
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$2,833
Total interest from all sources2015-12-31$222,538
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$279,389
Participant contributions at end of year2015-12-31$161,799
Participant contributions at beginning of year2015-12-31$80,143
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$27,430
Administrative expenses (other) incurred2015-12-31$2,833
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$420,123
Value of net assets at end of year (total assets less liabilities)2015-12-31$10,417,833
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$9,997,710
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$3,035,634
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$2,956,069
Interest on participant loans2015-12-31$4,013
Interest earned on other investments2015-12-31$218,525
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$7,220,400
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$6,961,498
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$159,763
Net investment gain/loss from pooled separate accounts2015-12-31$-185,947
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$214,232
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$280,758
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2015-12-31390859910
2014 : EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$863,683
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$512,509
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$510,516
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$470,412
Value of total assets at end of year2014-12-31$9,997,710
Value of total assets at beginning of year2014-12-31$9,646,536
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$1,993
Total interest from all sources2014-12-31$219,445
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Funding deficiency by the employer to the plan for this plan year2014-12-31$0
Minimum employer required contribution for this plan year2014-12-31$0
Amount contributed by the employer to the plan for this plan year2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$263,536
Participant contributions at end of year2014-12-31$80,143
Participant contributions at beginning of year2014-12-31$95,681
Administrative expenses (other) incurred2014-12-31$1,993
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$351,174
Value of net assets at end of year (total assets less liabilities)2014-12-31$9,997,710
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$9,646,536
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$2,956,069
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$2,688,192
Interest on participant loans2014-12-31$2,626
Interest earned on other investments2014-12-31$216,819
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$6,961,498
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$6,862,663
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$173,826
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$206,876
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$510,516
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2014-12-31390859910
2013 : EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 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$1,263,712
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$973,803
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$924,129
Expenses. Certain deemed distributions of participant loans2013-12-31$49,249
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$492,781
Value of total assets at end of year2013-12-31$9,646,536
Value of total assets at beginning of year2013-12-31$9,356,627
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$425
Total interest from all sources2013-12-31$209,867
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Funding deficiency by the employer to the plan for this plan year2013-12-31$0
Minimum employer required contribution for this plan year2013-12-31$0
Amount contributed by the employer to the plan for this plan year2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$272,497
Participant contributions at end of year2013-12-31$95,681
Participant contributions at beginning of year2013-12-31$157,089
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$0
Administrative expenses (other) incurred2013-12-31$425
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$289,909
Value of net assets at end of year (total assets less liabilities)2013-12-31$9,646,536
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$9,356,627
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$2,688,192
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$2,123,308
Interest on participant loans2013-12-31$4,644
Interest earned on other investments2013-12-31$205,223
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$6,862,663
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$7,076,230
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$561,064
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$220,284
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$924,129
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 name2013-12-31CLYDE, FERRARO AND CO. LLP
Accountancy firm EIN2013-12-31251669808
2012 : EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 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$999,808
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$515,390
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$507,005
Expenses. Certain deemed distributions of participant loans2012-12-31$8,110
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$491,394
Value of total assets at end of year2012-12-31$9,356,627
Value of total assets at beginning of year2012-12-31$8,872,209
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$275
Total interest from all sources2012-12-31$198,966
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31Yes
Funding deficiency by the employer to the plan for this plan year2012-12-31$0
Minimum employer required contribution for this plan year2012-12-31$0
Amount contributed by the employer to the plan for this plan year2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$272,020
Participant contributions at end of year2012-12-31$157,089
Participant contributions at beginning of year2012-12-31$161,908
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$0
Other income not declared elsewhere2012-12-31$-325
Administrative expenses (other) incurred2012-12-31$75
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$484,418
Value of net assets at end of year (total assets less liabilities)2012-12-31$9,356,627
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$8,872,209
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$2,123,308
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$2,422,464
Interest on participant loans2012-12-31$640
Interest earned on other investments2012-12-31$198,326
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$7,076,230
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$6,287,837
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$309,773
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31Yes
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$219,374
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$507,005
Contract administrator fees2012-12-31$200
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-12-31Yes
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 name2012-12-31CLYDE, FERRARO AND CO. LLP
Accountancy firm EIN2012-12-31251669808
2011 : EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 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$696,092
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$736,634
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$719,218
Expenses. Certain deemed distributions of participant loans2011-12-31$12,025
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$558,215
Value of total assets at end of year2011-12-31$8,872,209
Value of total assets at beginning of year2011-12-31$8,912,751
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$5,391
Total interest from all sources2011-12-31$187,977
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$311,710
Participant contributions at end of year2011-12-31$161,908
Participant contributions at beginning of year2011-12-31$174,170
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-40,542
Value of net assets at end of year (total assets less liabilities)2011-12-31$8,872,209
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$8,912,751
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$2,422,464
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$2,620,182
Interest on participant loans2011-12-31$5,041
Interest earned on other investments2011-12-31$182,936
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$6,287,837
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$6,118,399
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-50,100
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$246,505
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$719,218
Contract administrator fees2011-12-31$5,391
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 name2011-12-31PARENTEBEARD, LLC
Accountancy firm EIN2011-12-31232932984
2010 : EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
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$1,177,342
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$386,082
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$232,092
Expenses. Certain deemed distributions of participant loans2010-12-31$153,740
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$633,316
Value of total assets at end of year2010-12-31$8,912,751
Value of total assets at beginning of year2010-12-31$8,121,491
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$250
Total interest from all sources2010-12-31$175,711
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$320,073
Participant contributions at end of year2010-12-31$174,170
Participant contributions at beginning of year2010-12-31$342,934
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$60,660
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$791,260
Value of net assets at end of year (total assets less liabilities)2010-12-31$8,912,751
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$8,121,491
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$2,620,182
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$2,176,299
Interest on participant loans2010-12-31$298
Interest earned on other investments2010-12-31$175,413
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$6,118,399
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$5,602,258
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$368,315
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$252,583
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$232,092
Contract administrator fees2010-12-31$250
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 name2010-12-31PARENTEBEARD LLC
Accountancy firm EIN2010-12-31232932984

Form 5500 Responses for EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL

2017: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 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: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 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: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2010: EMPLOYEES OF NORTH CENTRAL PENNSYLVANIA REGIONAL 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement – InsuranceYes
2010-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number891483 006
Policy instance 2
Insurance contract or identification number891483 006
Number of Individuals Covered44
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-753225
Policy instance 1
Insurance contract or identification numberGA-753225
Number of Individuals Covered73
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $24,432
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $24,432
Insurance broker organization code?3
Insurance broker nameJANNEY MONTGOMERY SCOTT
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number891483006
Policy instance 2
Insurance contract or identification number891483006
Number of Individuals Covered49
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-753225
Policy instance 1
Insurance contract or identification numberGA-753225
Number of Individuals Covered70
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $18,469
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 $18,469
Insurance broker organization code?3
Insurance broker nameJANNEY MONTGOMERY SCOTT
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-753225
Policy instance 1
Insurance contract or identification numberGA-753225
Number of Individuals Covered69
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $13,229
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 $13,229
Insurance broker organization code?3
Insurance broker nameJANNEY MONTGOMERY SCOTT
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number891483006
Policy instance 2
Insurance contract or identification number891483006
Number of Individuals Covered53
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $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
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-753225
Policy instance 2
Insurance contract or identification numberGA-753225
Number of Individuals Covered69
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $16,155
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 $16,155
Insurance broker organization code?3
Insurance broker nameJANNEY MONTGOMERY SCOTT
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number891483006
Policy instance 1
Insurance contract or identification number891483006
Number of Individuals Covered54
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $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
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number891483006
Policy instance 2
Insurance contract or identification number891483006
Number of Individuals Covered62
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $6,417
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 $5,933
Insurance broker organization code?4
Insurance broker nameFORTUNE FINANCIAL SERVICES INC.
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-753225
Policy instance 1
Insurance contract or identification numberGA-753225
Number of Individuals Covered69
Insurance policy start date2012-07-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $7,045
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 $7,045
Insurance broker organization code?3
Insurance broker nameJANNEY MONTGOMERY SCOTT
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number891483006
Policy instance 1
Insurance contract or identification number891483006
Number of Individuals Covered104
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $14,106
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
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number891483006
Policy instance 1
Insurance contract or identification number891483006
Number of Individuals Covered111
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $15,833
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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