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THE SECOR GROUP 401(K) SAVINGS PLAN 401k Plan overview

Plan NameTHE SECOR GROUP 401(K) SAVINGS PLAN
Plan identification number 001

THE SECOR GROUP 401(K) SAVINGS PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

THE SECOR GROUP, INC. has sponsored the creation of one or more 401k plans.

Company Name:THE SECOR GROUP, INC.
Employer identification number (EIN):264008980
NAIC Classification:812990
NAIC Description:All Other Personal Services

Additional information about THE SECOR GROUP, INC.

Jurisdiction of Incorporation: State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number: 4638748

More information about THE SECOR GROUP, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE SECOR GROUP 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012016-01-01RYAN PULICE RYAN PULICE2016-10-27
0012015-01-01RYAN PULICE RYAN PULICE2016-10-14
0012015-01-01RYAN PULICE RYAN PULICE2016-09-22
0012014-01-01RYAN PULICE RYAN PULICE2015-10-14
0012014-01-01LISA BRUNER LISA BRUNER2016-04-26
0012014-01-01LISA BRUNER LISA BRUNER2016-05-27
0012013-01-01RYAN PULICE RYAN PULICE2016-01-11
0012012-01-01RYAN PULICE RYAN PULICE2015-11-19

Plan Statistics for THE SECOR GROUP 401(K) SAVINGS PLAN

401k plan membership statisitcs for THE SECOR GROUP 401(K) SAVINGS PLAN

Measure Date Value
2016: THE SECOR GROUP 401(K) SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01227
Total number of active participants reported on line 7a of the Form 55002016-01-010
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-010
Total of all active and inactive participants2016-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-010
Number of participants with account balances2016-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: THE SECOR GROUP 401(K) SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01168
Total number of active participants reported on line 7a of the Form 55002015-01-010
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01118
Total of all active and inactive participants2015-01-01118
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01118
Number of participants with account balances2015-01-01118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: THE SECOR GROUP 401(K) SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01187
Total number of active participants reported on line 7a of the Form 55002014-01-01152
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0116
Total of all active and inactive participants2014-01-01168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01168
Number of participants with account balances2014-01-01166
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: THE SECOR GROUP 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01152
Total number of active participants reported on line 7a of the Form 55002013-01-01158
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0120
Total of all active and inactive participants2013-01-01178
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01178
Number of participants with account balances2013-01-01166
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0116
2012: THE SECOR GROUP 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01158
Total number of active participants reported on line 7a of the Form 55002012-01-01144
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-019
Total of all active and inactive participants2012-01-01153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01153
Number of participants with account balances2012-01-01150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0112

Financial Data on THE SECOR GROUP 401(K) SAVINGS PLAN

Measure Date Value
2016 : THE SECOR GROUP 401(K) SAVINGS PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets2016-06-06$0
Unrealized appreciation/depreciation of other (non real estate) assets2016-06-06$0
Total unrealized appreciation/depreciation of assets2016-06-06$0
Total transfer of assets to this plan2016-06-06$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-06-06$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-06-06$0
Total income from all sources (including contributions)2016-06-06$-193,108
Total loss/gain on sale of assets2016-06-06$0
Total of all expenses incurred2016-06-06$4,001,724
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-06-06$3,995,750
Expenses. Certain deemed distributions of participant loans2016-06-06$0
Value of total corrective distributions2016-06-06$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-06-06$5,162
Value of total assets at end of year2016-06-06$0
Value of total assets at beginning of year2016-06-06$4,194,832
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-06-06$5,974
Total income from rents2016-06-06$0
Total interest from all sources2016-06-06$1,033
Total dividends received (eg from common stock, registered investment company shares)2016-06-06$368
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-06-06Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2016-06-06$0
Total dividends received from registered investment company shares (eg mutual funds)2016-06-06$368
Administrative expenses professional fees incurred2016-06-06$0
Was this plan covered by a fidelity bond2016-06-06Yes
Value of fidelity bond cover2016-06-06$2,000,000
If this is an individual account plan, was there a blackout period2016-06-06No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-06-06$0
Were there any nonexempt tranactions with any party-in-interest2016-06-06No
Amount of non-exempt transactions with any party-in-interest2016-06-06$0
Contributions received from participants2016-06-06$0
Participant contributions at end of year2016-06-06$0
Participant contributions at beginning of year2016-06-06$184,531
Participant contributions at end of year2016-06-06$0
Participant contributions at beginning of year2016-06-06$0
Income. Received or receivable in cash from other sources (including rollovers)2016-06-06$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2016-06-06$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-06-06$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-06-06$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-06-06$0
Other income not declared elsewhere2016-06-06$0
Administrative expenses (other) incurred2016-06-06$0
Liabilities. Value of operating payables at beginning of year2016-06-06$0
Total non interest bearing cash at end of year2016-06-06$0
Total non interest bearing cash at beginning of year2016-06-06$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-06-06No
Value of net income/loss2016-06-06$-4,194,832
Value of net assets at end of year (total assets less liabilities)2016-06-06$0
Value of net assets at beginning of year (total assets less liabilities)2016-06-06$4,194,832
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-06-06No
Were any loans by the plan or fixed income obligations due to the plan in default2016-06-06No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2016-06-06$0
Were any leases to which the plan was party in default or uncollectible2016-06-06No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2016-06-06$0
Investment advisory and management fees2016-06-06$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-06-06$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-06-06$1,070,604
Value of interest in pooled separate accounts at end of year2016-06-06$0
Value of interest in pooled separate accounts at beginning of year2016-06-06$1,321,395
Interest on participant loans2016-06-06$483
Income. Interest from loans (other than to participants)2016-06-06$0
Interest earned on other investments2016-06-06$550
Income. Interest from US Government securities2016-06-06$0
Income. Interest from corporate debt instruments2016-06-06$0
Value of interest in common/collective trusts at end of year2016-06-06$0
Value of interest in common/collective trusts at beginning of year2016-06-06$930,669
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-06-06$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-06-06$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-06-06$687,633
Expenses. Payments to insurance carriers foe the provision of benefits2016-06-06$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-06-06$-74,061
Net investment gain/loss from pooled separate accounts2016-06-06$-91,365
Net investment gain or loss from common/collective trusts2016-06-06$-34,245
Net gain/loss from 103.12 investment entities2016-06-06$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-06-06No
Was there a failure to transmit to the plan any participant contributions2016-06-06No
Has the plan failed to provide any benefit when due under the plan2016-06-06No
Contributions received in cash from employer2016-06-06$5,162
Employer contributions (assets) at end of year2016-06-06$0
Employer contributions (assets) at beginning of year2016-06-06$0
Income. Dividends from preferred stock2016-06-06$0
Income. Dividends from common stock2016-06-06$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-06-06$3,995,750
Contract administrator fees2016-06-06$5,974
Liabilities. Value of benefit claims payable at beginning of year2016-06-06$0
Did the plan have assets held for investment2016-06-06No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-06-06No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-06-06Yes
Aggregate proceeds on sale of assets2016-06-06$0
Aggregate carrying amount (costs) on sale of assets2016-06-06$0
Liabilities. Value of acquisition indebtedness at beginning of year2016-06-06$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-06-06Yes
Opinion of an independent qualified public accountant for this plan2016-06-06Disclaimer
Accountancy firm name2016-06-06HOMES, LOWRY, HORN & JOHNSON, LTD.
Accountancy firm EIN2016-06-06540975470
2015 : THE SECOR GROUP 401(K) SAVINGS PLAN 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets2015-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$0
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total transfer of assets to this plan2015-12-31$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$949,235
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$3,042,761
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$3,037,034
Expenses. Certain deemed distributions of participant loans2015-12-31$0
Value of total corrective distributions2015-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$934,677
Value of total assets at end of year2015-12-31$4,194,832
Value of total assets at beginning of year2015-12-31$6,288,358
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$5,727
Total income from rents2015-12-31$0
Total interest from all sources2015-12-31$16,287
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$21,067
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$21,067
Administrative expenses professional fees incurred2015-12-31$0
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$2,000,000
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
Amount of non-exempt transactions with any party-in-interest2015-12-31$0
Contributions received from participants2015-12-31$456,758
Participant contributions at end of year2015-12-31$184,531
Participant contributions at beginning of year2015-12-31$215,708
Participant contributions at end of year2015-12-31$0
Participant contributions at beginning of year2015-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$62,437
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2015-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$0
Other income not declared elsewhere2015-12-31$31,862
Administrative expenses (other) incurred2015-12-31$0
Liabilities. Value of operating payables at beginning of year2015-12-31$0
Total non interest bearing cash at end of year2015-12-31$0
Total non interest bearing cash at beginning of year2015-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-2,093,526
Value of net assets at end of year (total assets less liabilities)2015-12-31$4,194,832
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$6,288,358
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2015-12-31$0
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2015-12-31$0
Investment advisory and management fees2015-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$1,070,604
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$1,864,344
Value of interest in pooled separate accounts at end of year2015-12-31$1,321,395
Value of interest in pooled separate accounts at beginning of year2015-12-31$2,137,975
Interest on participant loans2015-12-31$6,540
Income. Interest from loans (other than to participants)2015-12-31$0
Interest earned on other investments2015-12-31$9,747
Income. Interest from US Government securities2015-12-31$0
Income. Interest from corporate debt instruments2015-12-31$0
Value of interest in common/collective trusts at end of year2015-12-31$930,669
Value of interest in common/collective trusts at beginning of year2015-12-31$1,224,325
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$687,633
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$846,006
Expenses. Payments to insurance carriers foe the provision of benefits2015-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-2,284
Net investment gain/loss from pooled separate accounts2015-12-31$-33,443
Net investment gain or loss from common/collective trusts2015-12-31$-18,931
Net gain/loss from 103.12 investment entities2015-12-31$0
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$415,482
Employer contributions (assets) at end of year2015-12-31$0
Employer contributions (assets) at beginning of year2015-12-31$0
Income. Dividends from preferred stock2015-12-31$0
Income. Dividends from common stock2015-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$3,037,034
Contract administrator fees2015-12-31$5,727
Liabilities. Value of benefit claims payable at beginning of year2015-12-31$0
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
Aggregate proceeds on sale of assets2015-12-31$0
Aggregate carrying amount (costs) on sale of assets2015-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2015-12-31$0
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 name2015-12-31HOMES, LOWRY, HORN & JOHNSON, LTD.
Accountancy firm EIN2015-12-31540975470
2014 : THE SECOR GROUP 401(K) SAVINGS PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets2014-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$0
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total transfer of assets to this plan2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$1,460,567
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$1,223,866
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$1,221,980
Expenses. Certain deemed distributions of participant loans2014-12-31$0
Value of total corrective distributions2014-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$1,153,650
Value of total assets at end of year2014-12-31$6,288,358
Value of total assets at beginning of year2014-12-31$6,051,657
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$1,886
Total income from rents2014-12-31$0
Total interest from all sources2014-12-31$18,897
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$35,960
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$35,960
Administrative expenses professional fees incurred2014-12-31$0
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$1,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Amount of non-exempt transactions with any party-in-interest2014-12-31$0
Contributions received from participants2014-12-31$540,383
Participant contributions at end of year2014-12-31$215,708
Participant contributions at beginning of year2014-12-31$261,029
Participant contributions at end of year2014-12-31$0
Participant contributions at beginning of year2014-12-31$38
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$103,094
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2014-12-31$1,369
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$0
Other income not declared elsewhere2014-12-31$0
Administrative expenses (other) incurred2014-12-31$0
Liabilities. Value of operating payables at beginning of year2014-12-31$0
Total non interest bearing cash at end of year2014-12-31$0
Total non interest bearing cash at beginning of year2014-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$236,701
Value of net assets at end of year (total assets less liabilities)2014-12-31$6,288,358
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$6,051,657
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2014-12-31$0
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2014-12-31$0
Investment advisory and management fees2014-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$1,864,344
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$2,868,954
Value of interest in pooled separate accounts at end of year2014-12-31$2,137,975
Value of interest in pooled separate accounts at beginning of year2014-12-31$1,887,757
Interest on participant loans2014-12-31$8,061
Income. Interest from loans (other than to participants)2014-12-31$0
Interest earned on other investments2014-12-31$10,836
Income. Interest from US Government securities2014-12-31$0
Income. Interest from corporate debt instruments2014-12-31$0
Value of interest in common/collective trusts at end of year2014-12-31$1,224,325
Value of interest in common/collective trusts at beginning of year2014-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$846,006
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$1,033,835
Expenses. Payments to insurance carriers foe the provision of benefits2014-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$137,627
Net investment gain/loss from pooled separate accounts2014-12-31$122,064
Net investment gain or loss from common/collective trusts2014-12-31$-7,631
Net gain/loss from 103.12 investment entities2014-12-31$0
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$510,173
Employer contributions (assets) at end of year2014-12-31$0
Employer contributions (assets) at beginning of year2014-12-31$44
Income. Dividends from preferred stock2014-12-31$0
Income. Dividends from common stock2014-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$1,220,611
Contract administrator fees2014-12-31$1,886
Liabilities. Value of benefit claims payable at beginning of year2014-12-31$0
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
Aggregate proceeds on sale of assets2014-12-31$0
Aggregate carrying amount (costs) on sale of assets2014-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2014-12-31$0
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 name2014-12-31RSM US LLP
Accountancy firm EIN2014-12-31420714325
2013 : THE SECOR GROUP 401(K) SAVINGS PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets2013-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$0
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total transfer of assets to this plan2013-12-31$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$1,768,902
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$482,807
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$480,265
Expenses. Certain deemed distributions of participant loans2013-12-31$0
Value of total corrective distributions2013-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,041,321
Value of total assets at end of year2013-12-31$6,051,657
Value of total assets at beginning of year2013-12-31$4,765,562
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$2,542
Total income from rents2013-12-31$0
Total interest from all sources2013-12-31$21,048
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$32,060
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$32,060
Administrative expenses professional fees incurred2013-12-31$0
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$1,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Amount of non-exempt transactions with any party-in-interest2013-12-31$0
Contributions received from participants2013-12-31$525,752
Participant contributions at end of year2013-12-31$261,029
Participant contributions at beginning of year2013-12-31$253,296
Participant contributions at end of year2013-12-31$38
Participant contributions at beginning of year2013-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$36,643
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2013-12-31$2,600
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$0
Other income not declared elsewhere2013-12-31$0
Administrative expenses (other) incurred2013-12-31$0
Liabilities. Value of operating payables at beginning of year2013-12-31$0
Total non interest bearing cash at end of year2013-12-31$0
Total non interest bearing cash at beginning of year2013-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$1,286,095
Value of net assets at end of year (total assets less liabilities)2013-12-31$6,051,657
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$4,765,562
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2013-12-31$0
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2013-12-31$0
Investment advisory and management fees2013-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$2,868,954
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$2,248,021
Value of interest in pooled separate accounts at end of year2013-12-31$1,887,757
Value of interest in pooled separate accounts at beginning of year2013-12-31$1,360,819
Interest on participant loans2013-12-31$9,382
Income. Interest from loans (other than to participants)2013-12-31$0
Interest earned on other investments2013-12-31$11,666
Income. Interest from US Government securities2013-12-31$0
Income. Interest from corporate debt instruments2013-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$1,033,835
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$903,426
Expenses. Payments to insurance carriers foe the provision of benefits2013-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$384,427
Net investment gain/loss from pooled separate accounts2013-12-31$290,046
Net investment gain or loss from common/collective trusts2013-12-31$0
Net gain/loss from 103.12 investment entities2013-12-31$0
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$478,926
Employer contributions (assets) at end of year2013-12-31$44
Employer contributions (assets) at beginning of year2013-12-31$0
Income. Dividends from preferred stock2013-12-31$0
Income. Dividends from common stock2013-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$477,665
Contract administrator fees2013-12-31$2,542
Liabilities. Value of benefit claims payable at beginning of year2013-12-31$0
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
Aggregate proceeds on sale of assets2013-12-31$0
Aggregate carrying amount (costs) on sale of assets2013-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2013-12-31$0
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 name2013-12-31RSM US LLP
Accountancy firm EIN2013-12-31420714325
2012 : THE SECOR GROUP 401(K) SAVINGS PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets2012-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$0
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total transfer of assets to this plan2012-12-31$0
Total transfer of assets from this plan2012-12-31$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
Expenses. Interest paid2012-12-31$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022012-12-31$0
Total income from all sources (including contributions)2012-12-31$1,349,478
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$936,649
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$935,060
Expenses. Certain deemed distributions of participant loans2012-12-31$0
Value of total corrective distributions2012-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$905,878
Value of total assets at end of year2012-12-31$4,765,562
Value of total assets at beginning of year2012-12-31$4,352,733
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$1,589
Total income from rents2012-12-31$0
Total interest from all sources2012-12-31$28,356
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$26,783
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$26,783
Administrative expenses professional fees incurred2012-12-31$0
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$1,000,000
If this is an individual account plan, was there a blackout period2012-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Amount of non-exempt transactions with any party-in-interest2012-12-31$0
Contributions received from participants2012-12-31$480,567
Participant contributions at end of year2012-12-31$253,296
Participant contributions at beginning of year2012-12-31$241,293
Participant contributions at end of year2012-12-31$0
Participant contributions at beginning of year2012-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2012-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$0
Other income not declared elsewhere2012-12-31$-2,443
Administrative expenses (other) incurred2012-12-31$475
Liabilities. Value of operating payables at beginning of year2012-12-31$0
Total non interest bearing cash at end of year2012-12-31$0
Total non interest bearing cash at beginning of year2012-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Income. Non cash contributions2012-12-31$0
Value of net income/loss2012-12-31$412,829
Value of net assets at end of year (total assets less liabilities)2012-12-31$4,765,562
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$4,352,733
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2012-12-31$0
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2012-12-31$0
Investment advisory and management fees2012-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$2,248,021
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$0
Value of interest in pooled separate accounts at end of year2012-12-31$1,360,819
Value of interest in pooled separate accounts at beginning of year2012-12-31$3,000,123
Interest on participant loans2012-12-31$11,094
Income. Interest from loans (other than to participants)2012-12-31$0
Interest earned on other investments2012-12-31$17,262
Income. Interest from US Government securities2012-12-31$0
Income. Interest from corporate debt instruments2012-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$903,426
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$1,111,317
Expenses. Payments to insurance carriers foe the provision of benefits2012-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$24,148
Net investment gain/loss from pooled separate accounts2012-12-31$366,756
Net investment gain or loss from common/collective trusts2012-12-31$0
Net gain/loss from 103.12 investment entities2012-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$425,311
Employer contributions (assets) at end of year2012-12-31$0
Employer contributions (assets) at beginning of year2012-12-31$0
Income. Dividends from preferred stock2012-12-31$0
Income. Dividends from common stock2012-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$935,060
Contract administrator fees2012-12-31$1,114
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
Liabilities. Value of benefit claims payable at beginning of year2012-12-31$0
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
Aggregate proceeds on sale of assets2012-12-31$0
Aggregate carrying amount (costs) on sale of assets2012-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2012-12-31$0
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 name2012-12-31MCGLADERY
Accountancy firm EIN2012-12-31420714325

Form 5500 Responses for THE SECOR GROUP 401(K) SAVINGS PLAN

2016: THE SECOR GROUP 401(K) SAVINGS PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01This submission is the final filingYes
2016-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: THE SECOR GROUP 401(K) SAVINGS PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedYes
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: THE SECOR GROUP 401(K) SAVINGS PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedYes
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: THE SECOR GROUP 401(K) SAVINGS PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedYes
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: THE SECOR GROUP 401(K) SAVINGS PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedYes
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

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number458244
Policy instance 2
Insurance contract or identification number458244
Number of Individuals Covered0
Insurance policy start date2016-01-01
Insurance policy end date2016-06-06
Total amount of commissions paid to insurance brokerUSD $840
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $840
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameH BECK INC
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered0
Insurance policy start date2016-01-01
Insurance policy end date2016-06-06
Total amount of commissions paid to insurance brokerUSD $430
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $430
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameH BECK INC
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number458244
Policy instance 2
Insurance contract or identification number458244
Number of Individuals Covered118
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $5,528
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $5,528
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameH BECK INC
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered118
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $2,263
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,263
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameH BECK INC
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number458244
Policy instance 2
Insurance contract or identification number458244
Number of Individuals Covered168
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $4,859
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,859
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameH BECK INC
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered168
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $2,408
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,408
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameH BECK INC
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number458244
Policy instance 2
Insurance contract or identification number458244
Number of Individuals Covered178
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
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 1
Insurance contract or identification number613953
Number of Individuals Covered178
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $4,719
Total amount of fees paid to insurance companyUSD $4,112
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,832
Amount paid for insurance broker fees0
Insurance broker organization code?3
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker nameWELLS FARGO ADVISORS LLC
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number458244
Policy instance 3
Insurance contract or identification number458244
Number of Individuals Covered153
Insurance policy start date2012-05-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $22,776
Total amount of fees paid to insurance companyUSD $26,871
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $19,582
Amount paid for insurance broker fees26871
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
Insurance broker nameWELLS FARGO ADVISORS LLC
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number613953
Policy instance 2
Insurance contract or identification number613953
Number of Individuals Covered153
Insurance policy start date2012-05-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number38647-001
Policy instance 1
Insurance contract or identification number38647-001
Number of Individuals Covered0
Insurance policy start date2012-01-01
Insurance policy end date2012-05-01
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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