DAVID B STANTON, M D & ASSOC INC has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN
401k plan membership statisitcs for DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN
| Measure | Date | Value |
|---|
| 2015: DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2015 401k membership |
|---|
| Total participants, beginning-of-year | 2015-01-01 | 23 |
| Total number of active participants reported on line 7a of the Form 5500 | 2015-01-01 | 33 |
| Number of retired or separated participants receiving benefits | 2015-01-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2015-01-01 | 3 |
| Total of all active and inactive participants | 2015-01-01 | 36 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2015-01-01 | 0 |
| Total participants | 2015-01-01 | 36 |
| Number of participants with account balances | 2015-01-01 | 23 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2015-01-01 | 1 |
| 2014: DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2014 401k membership |
|---|
| Total participants, beginning-of-year | 2014-01-01 | 32 |
| Total number of active participants reported on line 7a of the Form 5500 | 2014-01-01 | 20 |
| Number of retired or separated participants receiving benefits | 2014-01-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2014-01-01 | 3 |
| Total of all active and inactive participants | 2014-01-01 | 23 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2014-01-01 | 0 |
| Total participants | 2014-01-01 | 23 |
| Number of participants with account balances | 2014-01-01 | 23 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2014-01-01 | 1 |
| 2013: DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2013 401k membership |
|---|
| Total participants, beginning-of-year | 2013-01-01 | 40 |
| Total number of active participants reported on line 7a of the Form 5500 | 2013-01-01 | 22 |
| Number of retired or separated participants receiving benefits | 2013-01-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2013-01-01 | 10 |
| Total of all active and inactive participants | 2013-01-01 | 32 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2013-01-01 | 0 |
| Total participants | 2013-01-01 | 32 |
| Number of participants with account balances | 2013-01-01 | 32 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2013-01-01 | 0 |
| 2012: DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2012 401k membership |
|---|
| Total participants, beginning-of-year | 2012-01-01 | 37 |
| Total number of active participants reported on line 7a of the Form 5500 | 2012-01-01 | 31 |
| Number of retired or separated participants receiving benefits | 2012-01-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2012-01-01 | 9 |
| Total of all active and inactive participants | 2012-01-01 | 40 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2012-01-01 | 0 |
| Total participants | 2012-01-01 | 40 |
| Number of participants with account balances | 2012-01-01 | 29 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2012-01-01 | 0 |
| 2011: DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2011 401k membership |
|---|
| Total participants, beginning-of-year | 2011-01-01 | 43 |
| Total number of active participants reported on line 7a of the Form 5500 | 2011-01-01 | 27 |
| Number of retired or separated participants receiving benefits | 2011-01-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2011-01-01 | 10 |
| Total of all active and inactive participants | 2011-01-01 | 37 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2011-01-01 | 0 |
| Total participants | 2011-01-01 | 37 |
| Number of participants with account balances | 2011-01-01 | 23 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2011-01-01 | 0 |
| 2009: DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2009 401k membership |
|---|
| Total participants, beginning-of-year | 2009-01-01 | 48 |
| Total number of active participants reported on line 7a of the Form 5500 | 2009-01-01 | 30 |
| Number of retired or separated participants receiving benefits | 2009-01-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2009-01-01 | 12 |
| Total of all active and inactive participants | 2009-01-01 | 42 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2009-01-01 | 0 |
| Total participants | 2009-01-01 | 42 |
| Number of participants with account balances | 2009-01-01 | 27 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2009-01-01 | 0 |
| Measure | Date | Value |
|---|
| 2015 : DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2015 401k financial data |
|---|
| Total income from all sources | 2015-12-31 | $150,233 |
| Expenses. Total of all expenses incurred | 2015-12-31 | $127,625 |
| Benefits paid (including direct rollovers) | 2015-12-31 | $125,994 |
| Total plan assets at end of year | 2015-12-31 | $1,806,242 |
| Total plan assets at beginning of year | 2015-12-31 | $1,783,634 |
| Value of fidelity bond covering the plan | 2015-12-31 | $100,000 |
| Total contributions received or receivable from participants | 2015-12-31 | $119,387 |
| Other income received | 2015-12-31 | $11,483 |
| Net income (gross income less expenses) | 2015-12-31 | $22,608 |
| Net plan assets at end of year (total assets less liabilities) | 2015-12-31 | $1,806,242 |
| Net plan assets at beginning of year (total assets less liabilities) | 2015-12-31 | $1,783,634 |
| Assets. Value of participant loans | 2015-12-31 | $70,896 |
| Total contributions received or receivable from employer(s) | 2015-12-31 | $19,363 |
| Value of corrective distributions | 2015-12-31 | $981 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2015-12-31 | $650 |
| 2014 : DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2014 401k financial data |
|---|
| Total income from all sources | 2014-12-31 | $211,153 |
| Expenses. Total of all expenses incurred | 2014-12-31 | $42,315 |
| Benefits paid (including direct rollovers) | 2014-12-31 | $41,315 |
| Total plan assets at end of year | 2014-12-31 | $1,783,634 |
| Total plan assets at beginning of year | 2014-12-31 | $1,614,796 |
| Value of fidelity bond covering the plan | 2014-12-31 | $100,000 |
| Total contributions received or receivable from participants | 2014-12-31 | $97,271 |
| Other income received | 2014-12-31 | $97,923 |
| Net income (gross income less expenses) | 2014-12-31 | $168,838 |
| Net plan assets at end of year (total assets less liabilities) | 2014-12-31 | $1,783,634 |
| Net plan assets at beginning of year (total assets less liabilities) | 2014-12-31 | $1,614,796 |
| Assets. Value of participant loans | 2014-12-31 | $48,419 |
| Total contributions received or receivable from employer(s) | 2014-12-31 | $15,959 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2014-12-31 | $1,000 |
| 2013 : DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2013 401k financial data |
|---|
| Total income from all sources | 2013-12-31 | $513,614 |
| Expenses. Total of all expenses incurred | 2013-12-31 | $324,145 |
| Benefits paid (including direct rollovers) | 2013-12-31 | $322,631 |
| Total plan assets at end of year | 2013-12-31 | $1,614,796 |
| Total plan assets at beginning of year | 2013-12-31 | $1,425,327 |
| Value of fidelity bond covering the plan | 2013-12-31 | $100,000 |
| Total contributions received or receivable from participants | 2013-12-31 | $103,286 |
| Other income received | 2013-12-31 | $389,955 |
| Net income (gross income less expenses) | 2013-12-31 | $189,469 |
| Net plan assets at end of year (total assets less liabilities) | 2013-12-31 | $1,614,796 |
| Net plan assets at beginning of year (total assets less liabilities) | 2013-12-31 | $1,425,327 |
| Assets. Value of participant loans | 2013-12-31 | $18,090 |
| Total contributions received or receivable from employer(s) | 2013-12-31 | $20,373 |
| Value of corrective distributions | 2013-12-31 | $1,264 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2013-12-31 | $250 |
| 2012 : DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2012 401k financial data |
|---|
| Total income from all sources | 2012-12-31 | $310,367 |
| Expenses. Total of all expenses incurred | 2012-12-31 | $2,036 |
| Benefits paid (including direct rollovers) | 2012-12-31 | $1,636 |
| Total plan assets at end of year | 2012-12-31 | $1,425,327 |
| Total plan assets at beginning of year | 2012-12-31 | $1,116,996 |
| Value of fidelity bond covering the plan | 2012-12-31 | $100,000 |
| Total contributions received or receivable from participants | 2012-12-31 | $93,262 |
| Expenses. Other expenses not covered elsewhere | 2012-12-31 | $400 |
| Other income received | 2012-12-31 | $200,115 |
| Net income (gross income less expenses) | 2012-12-31 | $308,331 |
| Net plan assets at end of year (total assets less liabilities) | 2012-12-31 | $1,425,327 |
| Net plan assets at beginning of year (total assets less liabilities) | 2012-12-31 | $1,116,996 |
| Assets. Value of participant loans | 2012-12-31 | $25,776 |
| Total contributions received or receivable from employer(s) | 2012-12-31 | $16,990 |
| 2011 : DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2011 401k financial data |
|---|
| Total income from all sources | 2011-12-31 | $43,000 |
| Expenses. Total of all expenses incurred | 2011-12-31 | $54,886 |
| Benefits paid (including direct rollovers) | 2011-12-31 | $53,086 |
| Total plan assets at end of year | 2011-12-31 | $1,116,996 |
| Total plan assets at beginning of year | 2011-12-31 | $1,128,882 |
| Value of fidelity bond covering the plan | 2011-12-31 | $100,000 |
| Total contributions received or receivable from participants | 2011-12-31 | $100,969 |
| Contributions received from other sources (not participants or employers) | 2011-12-31 | $0 |
| Other income received | 2011-12-31 | $-74,880 |
| Net income (gross income less expenses) | 2011-12-31 | $-11,886 |
| Net plan assets at end of year (total assets less liabilities) | 2011-12-31 | $1,116,996 |
| Net plan assets at beginning of year (total assets less liabilities) | 2011-12-31 | $1,128,882 |
| Assets. Value of participant loans | 2011-12-31 | $32,441 |
| Total contributions received or receivable from employer(s) | 2011-12-31 | $16,911 |
| Value of certain deemed distributions of participant loans | 2011-12-31 | $0 |
| Value of corrective distributions | 2011-12-31 | $0 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2011-12-31 | $1,800 |
| 2010 : DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2010 401k financial data |
|---|
| Total income from all sources | 2010-12-31 | $247,400 |
| Expenses. Total of all expenses incurred | 2010-12-31 | $10,870 |
| Benefits paid (including direct rollovers) | 2010-12-31 | $10,470 |
| Total plan assets at end of year | 2010-12-31 | $1,128,882 |
| Total plan assets at beginning of year | 2010-12-31 | $892,352 |
| Value of fidelity bond covering the plan | 2010-12-31 | $100,000 |
| Total contributions received or receivable from participants | 2010-12-31 | $77,889 |
| Contributions received from other sources (not participants or employers) | 2010-12-31 | $0 |
| Other income received | 2010-12-31 | $155,208 |
| Net income (gross income less expenses) | 2010-12-31 | $236,530 |
| Net plan assets at end of year (total assets less liabilities) | 2010-12-31 | $1,128,882 |
| Net plan assets at beginning of year (total assets less liabilities) | 2010-12-31 | $892,352 |
| Assets. Value of participant loans | 2010-12-31 | $46,301 |
| Total contributions received or receivable from employer(s) | 2010-12-31 | $14,303 |
| Value of certain deemed distributions of participant loans | 2010-12-31 | $0 |
| Value of corrective distributions | 2010-12-31 | $0 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2010-12-31 | $400 |
| 2015: DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2015 form 5500 responses |
|---|
| 2015-01-01 | Type of plan entity | Single employer plan |
| 2015-01-01 | Submission has been amended | No |
| 2015-01-01 | This submission is the final filing | No |
| 2015-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2015-01-01 | Plan is a collectively bargained plan | No |
| 2015-01-01 | Plan funding arrangement – Insurance | Yes |
| 2015-01-01 | Plan funding arrangement – Trust | Yes |
| 2015-01-01 | Plan benefit arrangement – Insurance | Yes |
| 2015-01-01 | Plan benefit arrangement - Trust | Yes |
| 2014: DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2014 form 5500 responses |
|---|
| 2014-01-01 | Type of plan entity | Single employer plan |
| 2014-01-01 | Submission has been amended | No |
| 2014-01-01 | This submission is the final filing | No |
| 2014-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2014-01-01 | Plan is a collectively bargained plan | No |
| 2014-01-01 | Plan funding arrangement – Insurance | Yes |
| 2014-01-01 | Plan funding arrangement – Trust | Yes |
| 2014-01-01 | Plan benefit arrangement – Insurance | Yes |
| 2014-01-01 | Plan benefit arrangement - Trust | Yes |
| 2013: DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2013 form 5500 responses |
|---|
| 2013-01-01 | Type of plan entity | Single employer plan |
| 2013-01-01 | Submission has been amended | No |
| 2013-01-01 | This submission is the final filing | No |
| 2013-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2013-01-01 | Plan is a collectively bargained plan | No |
| 2013-01-01 | Plan funding arrangement – Insurance | Yes |
| 2013-01-01 | Plan funding arrangement – Trust | Yes |
| 2013-01-01 | Plan benefit arrangement – Insurance | Yes |
| 2013-01-01 | Plan benefit arrangement - Trust | Yes |
| 2012: DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2012 form 5500 responses |
|---|
| 2012-01-01 | Type of plan entity | Single employer plan |
| 2012-01-01 | Submission has been amended | No |
| 2012-01-01 | This submission is the final filing | No |
| 2012-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2012-01-01 | Plan is a collectively bargained plan | No |
| 2012-01-01 | Plan funding arrangement – Insurance | Yes |
| 2012-01-01 | Plan funding arrangement – Trust | Yes |
| 2012-01-01 | Plan benefit arrangement – Insurance | Yes |
| 2012-01-01 | Plan benefit arrangement - Trust | Yes |
| 2011: DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2011 form 5500 responses |
|---|
| 2011-01-01 | Type of plan entity | Single employer plan |
| 2011-01-01 | Submission has been amended | No |
| 2011-01-01 | This submission is the final filing | No |
| 2011-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2011-01-01 | Plan is a collectively bargained plan | No |
| 2011-01-01 | Plan funding arrangement – Insurance | Yes |
| 2011-01-01 | Plan benefit arrangement – Insurance | Yes |
| 2009: DAVID B. STANTON, M.D. & ASSOCS, INC. 401K PLAN 2009 form 5500 responses |
|---|
| 2009-01-01 | Type of plan entity | Single employer plan |
| 2009-01-01 | Submission has been amended | No |
| 2009-01-01 | This submission is the final filing | No |
| 2009-01-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2009-01-01 | Plan is a collectively bargained plan | No |
| 2009-01-01 | Plan funding arrangement – Insurance | Yes |
| 2009-01-01 | Plan benefit arrangement – Insurance | Yes |
| VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 ) |
| Policy contract number | ZH9546 |
| Policy instance | 1 |
| Insurance contract or identification number | ZH9546 | | Number of Individuals Covered | 36 | | Insurance policy start date | 2015-01-01 | | Insurance policy end date | 2015-12-31 | | Total amount of commissions paid to insurance broker | USD $4,391 | | Total amount of fees paid to insurance company | USD $0 | | Are there contracts with allocated funds for individual policies? | No | | Are there contracts with allocated funds for group deferred annuity? | No | | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | | Contract purchased, in whole or in part, to distribute benefits from a terminating 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 $4,391 | | Insurance broker organization code? | 3 | | Insurance broker name | MORGAN STANLEY SMITH BARNEY LLC |
|
| VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 ) |
| Policy contract number | ZH9546 |
| Policy instance | 1 |
| Insurance contract or identification number | ZH9546 | | Number of Individuals Covered | 23 | | Insurance policy start date | 2014-01-01 | | Insurance policy end date | 2014-12-31 | | Total amount of commissions paid to insurance broker | USD $4,148 | | Total amount of fees paid to insurance company | USD $0 | | Are there contracts with allocated funds for individual policies? | No | | Are there contracts with allocated funds for group deferred annuity? | No | | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | | Contract purchased, in whole or in part, to distribute benefits from a terminating 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 $4,148 | | Insurance broker organization code? | 3 | | Insurance broker name | MORGAN STANLEY SMITH BARNEY LLC |
|
| VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 ) |
| Policy contract number | ZH9546 |
| Policy instance | 1 |
| Insurance contract or identification number | ZH9546 | | Number of Individuals Covered | 32 | | Insurance policy start date | 2013-01-01 | | Insurance policy end date | 2013-12-31 | | Total amount of commissions paid to insurance broker | USD $3,264 | | Total amount of fees paid to insurance company | USD $0 | | Are there contracts with allocated funds for individual policies? | No | | Are there contracts with allocated funds for group deferred annuity? | No | | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | | Contract purchased, in whole or in part, to distribute benefits from a terminating 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 $3,264 | | Insurance broker organization code? | 3 | | Insurance broker name | MORGAN STANLEY SMITH BARNEY LLC |
|
| METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 ) |
| Policy contract number | 930283 |
| Policy instance | 1 |
| Insurance contract or identification number | 930283 | | Number of Individuals Covered | 0 | | Insurance policy start date | 2012-01-01 | | Insurance policy end date | 2012-03-02 | | Total amount of commissions paid to insurance broker | USD $1,152 | | Total amount of fees paid to insurance company | USD $0 | | Are there contracts with allocated funds for individual policies? | No | | Are there contracts with allocated funds for group deferred annuity? | No | | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | | Contract purchased, in whole or in part, to distribute benefits from a terminating 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 $1,152 | | Insurance broker organization code? | 4 | | Insurance broker name | SALOMON SMITH BARNEY |
|
| VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 ) |
| Policy contract number | ZH9546 |
| Policy instance | 2 |
| Insurance contract or identification number | ZH9546 | | Number of Individuals Covered | 40 | | Insurance policy start date | 2012-03-02 | | Insurance policy end date | 2012-12-31 | | Total amount of commissions paid to insurance broker | USD $13,296 | | Total amount of fees paid to insurance company | USD $0 | | Are there contracts with allocated funds for individual policies? | No | | Are there contracts with allocated funds for group deferred annuity? | No | | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | | Contract purchased, in whole or in part, to distribute benefits from a terminating 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 $12,655 | | Insurance broker organization code? | 3 | | Insurance broker name | MORGAN STANLEY SMITH BARNEY |
|
| METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 ) |
| Policy contract number | 930283 |
| Policy instance | 1 |
| Insurance contract or identification number | 930283 | | Number of Individuals Covered | 23 | | Insurance policy start date | 2011-01-01 | | Insurance policy end date | 2011-12-31 | | Total amount of commissions paid to insurance broker | USD $4,753 | | Total amount of fees paid to insurance company | USD $0 | | Are there contracts with allocated funds for individual policies? | No | | Are there contracts with allocated funds for group deferred annuity? | No | | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | | Contract purchased, in whole or in part, to distribute benefits from a terminating 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? | No | | 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 |
|
| METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 ) |
| Policy contract number | 930283 |
| Policy instance | 1 |
| Insurance contract or identification number | 930283 | | Number of Individuals Covered | 26 | | Insurance policy start date | 2010-01-01 | | Insurance policy end date | 2010-12-31 | | Total amount of commissions paid to insurance broker | USD $4,156 | | Total amount of fees paid to insurance company | USD $0 | | Are there contracts with allocated funds for individual policies? | No | | Are there contracts with allocated funds for group deferred annuity? | No | | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | | Contract purchased, in whole or in part, to distribute benefits from a terminating 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? | No | | 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 $4,156 | | Insurance broker organization code? | 4 | | Insurance broker name | MORGAN STANLEY SMITH BARNEY LLC |
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