401k Plan data: K.L. BREEDEN & SONS, LLC 401(K) PLAN plan

K.L. BREEDEN & SONS, LLC 401(K) PLAN 401k Plan overview

Plan Name	K.L. BREEDEN & SONS, LLC 401(K) PLAN
Plan identification number	001

K.L. BREEDEN & SONS, LLC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

K.L. BREEDEN AND SONS, LLC has sponsored the creation of one or more 401k plans.

Company Name: K.L. BREEDEN AND SONS, LLC

Employer identification number (EIN): 263828887

NAIC Classification: 484120
NAIC Description: General Freight Trucking, Long-Distance

Form 5500 Filing Information

Submission information for form 5500 for 401k plan K.L. BREEDEN & SONS, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2018-01-01
001 2017-01-01 JERRY BIEDIGER
001 2016-01-01 JERRY BIEDIGER
001 2015-01-01 JERRY BIEDIGER
001 2014-01-01 JERRY BIEDIGER 2015-10-05
001 2013-01-01 JERRY BIEDIGER 2014-10-13
001 2012-01-01 JERRY BIEDIGER 2013-10-11
001 2011-01-01 JERRY BIEDIGER 2012-10-15

Plan Statistics for K.L. BREEDEN & SONS, LLC 401(K) PLAN

401k plan membership statisitcs for K.L. BREEDEN & SONS, LLC 401(K) PLAN

Measure Date Value
2022: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 319
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 507
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 13
Total of all active and inactive participants 2022-01-01 520
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 520
Number of participants with account balances 2022-01-01 73
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 327
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 294
Number of retired or separated participants receiving benefits 2021-01-01 8
Number of other retired or separated participants entitled to future benefits 2021-01-01 18
Total of all active and inactive participants 2021-01-01 320
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 320
Number of participants with account balances 2021-01-01 84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 318
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 296
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 20
Total of all active and inactive participants 2020-01-01 316
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 316
Number of participants with account balances 2020-01-01 84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 292
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 288
Number of retired or separated participants receiving benefits 2019-01-01 2
Number of other retired or separated participants entitled to future benefits 2019-01-01 16
Total of all active and inactive participants 2019-01-01 306
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 306
Number of participants with account balances 2019-01-01 79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 259
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 272
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 13
Total of all active and inactive participants 2018-01-01 285
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 285
Number of participants with account balances 2018-01-01 71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 221
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 245
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 8
Total of all active and inactive participants 2017-01-01 253
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 253
Number of participants with account balances 2017-01-01 70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 181
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 208
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 5
Total of all active and inactive participants 2016-01-01 213
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 213
Number of participants with account balances 2016-01-01 30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 141
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 142
Number of retired or separated participants receiving benefits 2015-01-01 1
Number of other retired or separated participants entitled to future benefits 2015-01-01 5
Total of all active and inactive participants 2015-01-01 148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 148
Number of participants with account balances 2015-01-01 31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0

Measure	Date	Value
2022: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	319
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	507
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	13
Total of all active and inactive participants	2022-01-01	520
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	520
Number of participants with account balances	2022-01-01	73
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	327
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	294
Number of retired or separated participants receiving benefits	2021-01-01	8
Number of other retired or separated participants entitled to future benefits	2021-01-01	18
Total of all active and inactive participants	2021-01-01	320
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	320
Number of participants with account balances	2021-01-01	84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	318
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	296
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	20
Total of all active and inactive participants	2020-01-01	316
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	316
Number of participants with account balances	2020-01-01	84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	292
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	288
Number of retired or separated participants receiving benefits	2019-01-01	2
Number of other retired or separated participants entitled to future benefits	2019-01-01	16
Total of all active and inactive participants	2019-01-01	306
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	306
Number of participants with account balances	2019-01-01	79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	259
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	272
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	13
Total of all active and inactive participants	2018-01-01	285
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	285
Number of participants with account balances	2018-01-01	71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	221
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	245
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	8
Total of all active and inactive participants	2017-01-01	253
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	253
Number of participants with account balances	2017-01-01	70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	181
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	208
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	5
Total of all active and inactive participants	2016-01-01	213
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	213
Number of participants with account balances	2016-01-01	30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	141
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	142
Number of retired or separated participants receiving benefits	2015-01-01	1
Number of other retired or separated participants entitled to future benefits	2015-01-01	5
Total of all active and inactive participants	2015-01-01	148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	148
Number of participants with account balances	2015-01-01	31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0

Financial Data on K.L. BREEDEN & SONS, LLC 401(K) PLAN

Measure	Date	Value
2022 : K.L. BREEDEN & SONS, LLC 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$3,555
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$8,939
Total income from all sources (including contributions)	2022-12-31	$-82,706
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$221,695
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$196,538
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$261,139
Value of total assets at end of year	2022-12-31	$1,741,063
Value of total assets at beginning of year	2022-12-31	$2,050,848
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$25,157
Total interest from all sources	2022-12-31	$2,424
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$261,139
Participant contributions at end of year	2022-12-31	$47,302
Participant contributions at beginning of year	2022-12-31	$36,211
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2022-12-31	$3,555
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2022-12-31	$8,939
Other income not declared elsewhere	2022-12-31	$4,000
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-304,401
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$1,737,508
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$2,041,909
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in pooled separate accounts at end of year	2022-12-31	$1,645,414
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$1,994,506
Interest on participant loans	2022-12-31	$1,859
Interest earned on other investments	2022-12-31	$565
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$48,347
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$20,131
Net investment gain/loss from pooled separate accounts	2022-12-31	$-350,269
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$196,538
Contract administrator fees	2022-12-31	$25,157
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	COULTER & JUSTUS
Accountancy firm EIN	2022-12-31	621532536
2021 : K.L. BREEDEN & SONS, LLC 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$8,939
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$17,103
Total income from all sources (including contributions)	2021-12-31	$487,916
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$99,302
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$74,655
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$267,308
Value of total assets at end of year	2021-12-31	$2,050,848
Value of total assets at beginning of year	2021-12-31	$1,670,398
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$24,647
Total interest from all sources	2021-12-31	$1,459
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$267,308
Participant contributions at end of year	2021-12-31	$36,211
Participant contributions at beginning of year	2021-12-31	$27,037
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2021-12-31	$8,939
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2021-12-31	$17,103
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$388,614
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$2,041,909
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$1,653,295
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in pooled separate accounts at end of year	2021-12-31	$1,994,506
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$1,624,049
Interest on participant loans	2021-12-31	$1,177
Interest earned on other investments	2021-12-31	$282
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$20,131
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$19,312
Net investment gain/loss from pooled separate accounts	2021-12-31	$219,149
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$74,655
Contract administrator fees	2021-12-31	$24,647
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	COULTER & JUSTUS
Accountancy firm EIN	2021-12-31	621532536
2020 : K.L. BREEDEN & SONS, LLC 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$17,103
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$15,459
Total income from all sources (including contributions)	2020-12-31	$473,016
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$9,595
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$234,380
Value of total assets at end of year	2020-12-31	$1,670,398
Value of total assets at beginning of year	2020-12-31	$1,205,333
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$9,595
Total interest from all sources	2020-12-31	$1,062
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$234,380
Participant contributions at end of year	2020-12-31	$27,037
Participant contributions at beginning of year	2020-12-31	$16,329
Participant contributions at end of year	2020-12-31	$0
Participant contributions at beginning of year	2020-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2020-12-31	$17,103
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2020-12-31	$15,459
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$463,421
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$1,653,295
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$1,189,874
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$0
Value of interest in pooled separate accounts at end of year	2020-12-31	$1,624,049
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$1,187,809
Interest on participant loans	2020-12-31	$997
Interest earned on other investments	2020-12-31	$65
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$19,312
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$1,195
Net investment gain/loss from pooled separate accounts	2020-12-31	$237,574
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$0
Contract administrator fees	2020-12-31	$9,595
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	COULTER & JUSTUS
Accountancy firm EIN	2020-12-31	621532536
2019 : K.L. BREEDEN & SONS, LLC 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$15,459
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$23,698
Total income from all sources (including contributions)	2019-12-31	$427,200
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$24,141
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$15,985
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$243,476
Value of total assets at end of year	2019-12-31	$1,205,333
Value of total assets at beginning of year	2019-12-31	$810,513
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$8,156
Total interest from all sources	2019-12-31	$642
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$225,919
Participant contributions at end of year	2019-12-31	$16,329
Participant contributions at beginning of year	2019-12-31	$6,217
Participant contributions at end of year	2019-12-31	$0
Participant contributions at beginning of year	2019-12-31	$7,120
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$17,557
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2019-12-31	$15,459
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$23,698
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$403,059
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$1,189,874
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$786,815
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$0
Value of interest in pooled separate accounts at end of year	2019-12-31	$1,187,809
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$796,914
Income. Interest from loans (other than to participants)	2019-12-31	$631
Interest earned on other investments	2019-12-31	$11
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$1,195
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$262
Net investment gain/loss from pooled separate accounts	2019-12-31	$183,082
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$15,985
Contract administrator fees	2019-12-31	$8,156
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	COULTER & JUSTUS
Accountancy firm EIN	2019-12-31	621532536
2018 : K.L. BREEDEN & SONS, LLC 401(K) PLAN 2018 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
2017 : K.L. BREEDEN & SONS, LLC 401(K) PLAN 2017 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$8,837
Total income from all sources (including contributions)	2017-12-31	$276,113
Total of all expenses incurred	2017-12-31	$26,268
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$16,961
Value of total corrective distributions	2017-12-31	$8,837
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$177,397
Value of total assets at end of year	2017-12-31	$736,094
Value of total assets at beginning of year	2017-12-31	$477,412
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$470
Total interest from all sources	2017-12-31	$108
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$19,935
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$19,935
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$100,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$159,524
Participant contributions at end of year	2017-12-31	$9,346
Participant contributions at beginning of year	2017-12-31	$4,871
Participant contributions at end of year	2017-12-31	$7,191
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$17,873
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$8,837
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$249,845
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$727,257
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$477,412
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$719,557
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$472,541
Interest on participant loans	2017-12-31	$108
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$78,673
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$16,961
Contract administrator fees	2017-12-31	$470
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	PHILLIP C. MAY PC
Accountancy firm EIN	2017-12-31	800794417
2016 : K.L. BREEDEN & SONS, LLC 401(K) PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$120,172
Total of all expenses incurred	2016-12-31	$22,964
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$22,514
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$92,966
Value of total assets at end of year	2016-12-31	$477,412
Value of total assets at beginning of year	2016-12-31	$380,204
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$450
Total interest from all sources	2016-12-31	$598
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$12,428
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$12,428
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$92,966
Participant contributions at end of year	2016-12-31	$4,871
Participant contributions at beginning of year	2016-12-31	$15,189
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$97,208
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$477,412
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$380,204
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$472,541
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$365,015
Interest on participant loans	2016-12-31	$598
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$14,180
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$22,514
Contract administrator fees	2016-12-31	$450
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	PHILLIP C. MAY PC
Accountancy firm EIN	2016-12-31	800794417
2015 : K.L. BREEDEN & SONS, LLC 401(K) PLAN 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$83,122
Total of all expenses incurred	2015-12-31	$8,583
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$7,978
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$85,110
Value of total assets at end of year	2015-12-31	$380,204
Value of total assets at beginning of year	2015-12-31	$305,665
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$605
Total interest from all sources	2015-12-31	$683
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$15,890
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$15,890
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$85,110
Participant contributions at end of year	2015-12-31	$15,189
Participant contributions at beginning of year	2015-12-31	$12,890
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$74,539
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$380,204
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$305,665
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$365,015
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$292,775
Interest on participant loans	2015-12-31	$683
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-18,561
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$7,978
Contract administrator fees	2015-12-31	$605
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	PHILLIP C. MAY PC
Accountancy firm EIN	2015-12-31	800794417

Form 5500 Responses for K.L. BREEDEN & SONS, LLC 401(K) PLAN

2022: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: K.L. BREEDEN & SONS, LLC 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

932413-00539

Policy instance

Insurance contract or identification number	932413-00539
Number of Individuals Covered	520
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $12,955
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 Broker	USD $12,955
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	N/A
Insurance broker organization code?	3

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

932413-00539

Policy instance

Insurance contract or identification number	932413-00539
Number of Individuals Covered	320
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $13,783
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 Broker	USD $13,783
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	N/A
Insurance broker organization code?	3

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

932413-00539

Policy instance

Insurance contract or identification number	932413-00539
Number of Individuals Covered	316
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $9,851
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 Broker	USD $9,851
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	N/A
Insurance broker organization code?	3

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

932413-00539

Policy instance

Insurance contract or identification number	932413-00539
Number of Individuals Covered	306
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $7,566
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 Broker	USD $3,152
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	N/A
Insurance broker organization code?	3

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

932413-00539

Policy instance

Insurance contract or identification number	932413-00539
Number of Individuals Covered	285
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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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Company Name:	K.L. BREEDEN AND SONS, LLC
Employer identification number (EIN):	263828887
NAIC Classification:	484120
NAIC Description:	General Freight Trucking, Long-Distance