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PACIFIC MERCANTILE BANK 401(K) PLAN 401k Plan overview

Plan NamePACIFIC MERCANTILE BANK 401(K) PLAN
Plan identification number 001

PACIFIC MERCANTILE BANK 401(K) 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.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • 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

PACIFIC MERCANTILE BANK has sponsored the creation of one or more 401k plans.

Company Name:PACIFIC MERCANTILE BANK
Employer identification number (EIN):330830202
NAIC Classification:522110
NAIC Description:Commercial Banking

Additional information about PACIFIC MERCANTILE BANK

Jurisdiction of Incorporation: California Department of State
Incorporation Date: 1998-11-18
Company Identification Number: C2125962
Legal Registered Office Address: 949 South Coast Drive, 3rd Floor

Costa Mesa
United States of America (USA)
92626

More information about PACIFIC MERCANTILE BANK

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PACIFIC MERCANTILE BANK 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012021-01-01
0012020-01-01
0012020-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01KATHLEEN WIESINGER
0012016-01-01KATHLEEN WIESINGER
0012015-01-01KATHLEEN WIESINGER
0012014-01-01NOMA BRUTON NOMA BRUTON2015-10-14
0012013-01-01
0012012-01-01BARBARA PALERMO BARBARA PALERMO2013-08-13
0012011-01-01BARBARA PALERMO BARBARA PALERMO2012-10-02
0012009-01-01BARBARA PALERMO BARBARA PALERMO2010-09-03

Plan Statistics for PACIFIC MERCANTILE BANK 401(K) PLAN

401k plan membership statisitcs for PACIFIC MERCANTILE BANK 401(K) PLAN

Measure Date Value
2021: PACIFIC MERCANTILE BANK 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01230
Total number of active participants reported on line 7a of the Form 55002021-01-010
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-010
Total of all active and inactive participants2021-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-010
Number of participants with account balances2021-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: PACIFIC MERCANTILE BANK 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01249
Total number of active participants reported on line 7a of the Form 55002020-01-01140
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-0190
Total of all active and inactive participants2020-01-01230
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01230
Number of participants with account balances2020-01-01230
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-018
2019: PACIFIC MERCANTILE BANK 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01237
Total number of active participants reported on line 7a of the Form 55002019-01-01157
Number of retired or separated participants receiving benefits2019-01-011
Number of other retired or separated participants entitled to future benefits2019-01-0191
Total of all active and inactive participants2019-01-01249
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01249
Number of participants with account balances2019-01-01249
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0117
2018: PACIFIC MERCANTILE BANK 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01244
Total number of active participants reported on line 7a of the Form 55002018-01-01156
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0181
Total of all active and inactive participants2018-01-01237
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01237
Number of participants with account balances2018-01-01237
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0112
2017: PACIFIC MERCANTILE BANK 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01226
Total number of active participants reported on line 7a of the Form 55002017-01-01172
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0172
Total of all active and inactive participants2017-01-01244
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01244
Number of participants with account balances2017-01-01232
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0111
2016: PACIFIC MERCANTILE BANK 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01246
Total number of active participants reported on line 7a of the Form 55002016-01-01147
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0179
Total of all active and inactive participants2016-01-01226
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01226
Number of participants with account balances2016-01-01226
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-015
2015: PACIFIC MERCANTILE BANK 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01255
Total number of active participants reported on line 7a of the Form 55002015-01-01159
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0187
Total of all active and inactive participants2015-01-01246
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01246
Number of participants with account balances2015-01-01225
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-016
2014: PACIFIC MERCANTILE BANK 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01325
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 benefits2014-01-01102
Total of all active and inactive participants2014-01-01254
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01254
Number of participants with account balances2014-01-01254
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0132
2013: PACIFIC MERCANTILE BANK 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01386
Total number of active participants reported on line 7a of the Form 55002013-01-01221
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01104
Total of all active and inactive participants2013-01-01325
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01325
Number of participants with account balances2013-01-01286
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0147
2012: PACIFIC MERCANTILE BANK 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01315
Total number of active participants reported on line 7a of the Form 55002012-01-01281
Number of retired or separated participants receiving benefits2012-01-012
Number of other retired or separated participants entitled to future benefits2012-01-01103
Total of all active and inactive participants2012-01-01386
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01386
Number of participants with account balances2012-01-01296
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0136
2011: PACIFIC MERCANTILE BANK 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01250
Total number of active participants reported on line 7a of the Form 55002011-01-01227
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0188
Total of all active and inactive participants2011-01-01315
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01315
Number of participants with account balances2011-01-01241
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0118
2009: PACIFIC MERCANTILE BANK 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01195
Total number of active participants reported on line 7a of the Form 55002009-01-01170
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0170
Total of all active and inactive participants2009-01-01240
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01240
Number of participants with account balances2009-01-01223
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0124

Financial Data on PACIFIC MERCANTILE BANK 401(K) PLAN

Measure Date Value
2021 : PACIFIC MERCANTILE BANK 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total transfer of assets from this plan2021-12-31$195,571
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$4,248,228
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$24,533,168
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$24,503,495
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$1,432,055
Value of total assets at end of year2021-12-31$0
Value of total assets at beginning of year2021-12-31$20,480,511
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$29,673
Total interest from all sources2021-12-31$51,247
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$136,710
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2021-12-31$0
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$136,710
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$1,136,685
Participant contributions at end of year2021-12-31$0
Participant contributions at beginning of year2021-12-31$399,686
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$7
Other income not declared elsewhere2021-12-31$0
Administrative expenses (other) incurred2021-12-31$29,673
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$-20,284,940
Value of net assets at end of year (total assets less liabilities)2021-12-31$0
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$20,480,511
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$17,240,189
Interest on participant loans2021-12-31$20,016
Interest earned on other investments2021-12-31$31,231
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$2,840,636
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$2,628,216
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$295,363
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$24,503,495
Did the plan have assets held for investment2021-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31Yes
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31WRIGHT FORD YOUNG & CO
Accountancy firm EIN2021-12-31953288054
2020 : PACIFIC MERCANTILE BANK 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$4,843,450
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$2,039,210
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$2,033,831
Value of total corrective distributions2020-12-31$450
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$1,963,470
Value of total assets at end of year2020-12-31$20,480,511
Value of total assets at beginning of year2020-12-31$17,676,271
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$4,929
Total interest from all sources2020-12-31$54,626
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$167,304
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$167,304
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$1,463,910
Participant contributions at end of year2020-12-31$399,686
Participant contributions at beginning of year2020-12-31$259,297
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$122,372
Administrative expenses (other) incurred2020-12-31$4,929
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$2,804,240
Value of net assets at end of year (total assets less liabilities)2020-12-31$20,480,511
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$17,676,271
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$17,240,189
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$14,775,662
Interest on participant loans2020-12-31$22,153
Interest earned on other investments2020-12-31$32,473
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$2,840,636
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$2,641,312
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$2,658,050
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$377,188
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$2,033,831
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31WRIGHT FORD YOUNG & CO
Accountancy firm EIN2020-12-31953288054
2019 : PACIFIC MERCANTILE BANK 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$5,002,781
Total income from all sources (including contributions)2019-12-31$5,002,781
Total loss/gain on sale of assets2019-12-31$0
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$1,640,215
Total of all expenses incurred2019-12-31$1,640,215
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$1,635,503
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$1,635,503
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$2,031,490
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$2,031,490
Value of total assets at end of year2019-12-31$17,676,271
Value of total assets at end of year2019-12-31$17,676,271
Value of total assets at beginning of year2019-12-31$14,313,705
Value of total assets at beginning of year2019-12-31$14,313,705
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$4,712
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$4,712
Total interest from all sources2019-12-31$52,378
Total interest from all sources2019-12-31$52,378
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$193,832
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$193,832
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$193,832
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$193,832
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$1,471,406
Contributions received from participants2019-12-31$1,471,406
Participant contributions at end of year2019-12-31$259,297
Participant contributions at end of year2019-12-31$259,297
Participant contributions at beginning of year2019-12-31$254,833
Participant contributions at beginning of year2019-12-31$254,833
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$154,053
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$154,053
Administrative expenses (other) incurred2019-12-31$4,712
Administrative expenses (other) incurred2019-12-31$4,712
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$3,362,566
Value of net income/loss2019-12-31$3,362,566
Value of net assets at end of year (total assets less liabilities)2019-12-31$17,676,271
Value of net assets at end of year (total assets less liabilities)2019-12-31$17,676,271
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$14,313,705
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$14,313,705
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$14,775,662
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$14,775,662
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$11,846,319
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$11,846,319
Interest on participant loans2019-12-31$17,094
Interest on participant loans2019-12-31$17,094
Interest earned on other investments2019-12-31$35,284
Interest earned on other investments2019-12-31$35,284
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$2,641,312
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$2,641,312
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$2,212,553
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$2,212,553
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$2,725,081
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$2,725,081
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$406,031
Contributions received in cash from employer2019-12-31$406,031
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$1,635,503
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$1,635,503
Did the plan have assets held for investment2019-12-31Yes
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31WRIGHT FORD YOUNG & CO
Accountancy firm name2019-12-31WRIGHT FORD YOUNG & CO
Accountancy firm EIN2019-12-31953288054
2018 : PACIFIC MERCANTILE BANK 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$1,141,306
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$1,523,848
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$1,522,948
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$1,863,705
Value of total assets at end of year2018-12-31$14,313,705
Value of total assets at beginning of year2018-12-31$14,696,247
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$900
Total interest from all sources2018-12-31$41,070
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$180,580
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$180,580
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$1,263,775
Participant contributions at end of year2018-12-31$254,833
Participant contributions at beginning of year2018-12-31$219,756
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$239,900
Administrative expenses (other) incurred2018-12-31$900
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-382,542
Value of net assets at end of year (total assets less liabilities)2018-12-31$14,313,705
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$14,696,247
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$11,846,319
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$12,440,870
Interest on participant loans2018-12-31$12,749
Interest earned on other investments2018-12-31$28,321
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$2,212,553
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$2,035,621
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-944,049
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$360,030
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$1,522,948
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31LTSP, INC.
Accountancy firm EIN2018-12-31953864890
2017 : PACIFIC MERCANTILE BANK 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$4,450,961
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$1,170,007
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$1,166,432
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$2,402,343
Value of total assets at end of year2017-12-31$14,696,247
Value of total assets at beginning of year2017-12-31$11,415,293
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$3,575
Total interest from all sources2017-12-31$36,462
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$142,553
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$142,553
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$2,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$1,251,023
Participant contributions at end of year2017-12-31$219,756
Participant contributions at beginning of year2017-12-31$284,109
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$888,659
Other income not declared elsewhere2017-12-31$2,409
Administrative expenses (other) incurred2017-12-31$3,575
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$3,280,954
Value of net assets at end of year (total assets less liabilities)2017-12-31$14,696,247
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$11,415,293
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$12,440,870
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$9,407,772
Interest on participant loans2017-12-31$14,476
Interest earned on other investments2017-12-31$21,986
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$2,035,621
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$1,723,412
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$1,867,194
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$262,661
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$1,166,432
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31LTSP, INC.
Accountancy firm EIN2017-12-31953864890
2016 : PACIFIC MERCANTILE BANK 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$2,888,997
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$5,300,073
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$5,298,003
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$2,049,328
Value of total assets at end of year2016-12-31$11,415,293
Value of total assets at beginning of year2016-12-31$13,826,369
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$2,070
Total interest from all sources2016-12-31$36,430
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$130,378
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$130,378
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$2,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$954,242
Participant contributions at end of year2016-12-31$284,109
Participant contributions at beginning of year2016-12-31$331,035
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$767,662
Other income not declared elsewhere2016-12-31$747
Administrative expenses (other) incurred2016-12-31$2,070
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$-2,411,076
Value of net assets at end of year (total assets less liabilities)2016-12-31$11,415,293
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$13,826,369
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$9,407,772
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$11,766,996
Interest on participant loans2016-12-31$14,771
Interest earned on other investments2016-12-31$21,659
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$1,723,412
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$1,728,338
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$672,114
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$327,424
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$5,298,003
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31LTSP, INC.
Accountancy firm EIN2016-12-31953864890
2015 : PACIFIC MERCANTILE BANK 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$2,079,251
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$2,195,929
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$2,191,324
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$2,030,790
Value of total assets at end of year2015-12-31$13,826,369
Value of total assets at beginning of year2015-12-31$13,943,047
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$4,605
Total interest from all sources2015-12-31$40,513
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$142,760
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$142,760
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
Contributions received from participants2015-12-31$1,162,841
Participant contributions at end of year2015-12-31$331,035
Participant contributions at beginning of year2015-12-31$299,931
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$690,803
Other income not declared elsewhere2015-12-31$2,027
Administrative expenses (other) incurred2015-12-31$4,605
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-116,678
Value of net assets at end of year (total assets less liabilities)2015-12-31$13,826,369
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$13,943,047
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$11,766,996
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$11,252,914
Interest on participant loans2015-12-31$15,940
Interest earned on other investments2015-12-31$24,573
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$1,728,338
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$2,390,202
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-136,839
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$177,146
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$2,191,324
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31LTSP, INC.
Accountancy firm EIN2015-12-31953864890
2014 : PACIFIC MERCANTILE BANK 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$4,739,698
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$2,438,783
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$2,412,707
Expenses. Certain deemed distributions of participant loans2014-12-31$9,117
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$3,878,351
Value of total assets at end of year2014-12-31$13,943,047
Value of total assets at beginning of year2014-12-31$11,642,132
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$16,959
Total interest from all sources2014-12-31$18,320
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$72,552
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$72,552
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$2,000,000
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
Contributions received from participants2014-12-31$1,173,608
Participant contributions at end of year2014-12-31$299,931
Participant contributions at beginning of year2014-12-31$308,879
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$2,316,063
Other income not declared elsewhere2014-12-31$10,964
Administrative expenses (other) incurred2014-12-31$16,959
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$2,300,915
Value of net assets at end of year (total assets less liabilities)2014-12-31$13,943,047
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$11,642,132
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$11,252,914
Value of interest in pooled separate accounts at beginning of year2014-12-31$11,175,230
Interest on participant loans2014-12-31$16,418
Interest earned on other investments2014-12-31$1,902
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$49,548
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$49,548
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$2,390,202
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$108,475
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$-75,288
Net investment gain/loss from pooled separate accounts2014-12-31$834,799
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$388,680
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$2,412,707
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31LESLEY THOMAS SCHWARZ & POSTMA INC.
Accountancy firm EIN2014-12-31953864890
2013 : PACIFIC MERCANTILE BANK 401(K) PLAN 2013 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$31,141
Total income from all sources (including contributions)2013-12-31$3,977,783
Total of all expenses incurred2013-12-31$1,890,586
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$1,869,928
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$2,352,908
Value of total assets at end of year2013-12-31$11,642,132
Value of total assets at beginning of year2013-12-31$9,586,076
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$20,658
Total interest from all sources2013-12-31$13,189
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$2,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$1,099,878
Participant contributions at end of year2013-12-31$308,879
Participant contributions at beginning of year2013-12-31$217,747
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$929,511
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$31,141
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$2,087,197
Value of net assets at end of year (total assets less liabilities)2013-12-31$11,642,132
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$9,554,935
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in pooled separate accounts at end of year2013-12-31$11,175,230
Value of interest in pooled separate accounts at beginning of year2013-12-31$9,246,635
Interest on participant loans2013-12-31$12,643
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$49,548
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$26,285
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$26,285
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$546
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$108,475
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$95,409
Net investment gain/loss from pooled separate accounts2013-12-31$1,611,686
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$323,519
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$1,869,928
Contract administrator fees2013-12-31$20,658
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31LESLEY THOMAS SCHWARZ & POSTMA INC.
Accountancy firm EIN2013-12-31953864890
2012 : PACIFIC MERCANTILE BANK 401(K) PLAN 2012 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$31,141
Total income from all sources (including contributions)2012-12-31$2,570,750
Total of all expenses incurred2012-12-31$922,484
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$872,477
Value of total corrective distributions2012-12-31$31,141
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,611,566
Value of total assets at end of year2012-12-31$9,586,076
Value of total assets at beginning of year2012-12-31$7,906,669
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$18,866
Total interest from all sources2012-12-31$12,185
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$2,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$1,106,718
Participant contributions at end of year2012-12-31$217,747
Participant contributions at beginning of year2012-12-31$242,296
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$207,112
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$24
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$31,141
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$1,648,266
Value of net assets at end of year (total assets less liabilities)2012-12-31$9,554,935
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$7,906,669
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in pooled separate accounts at end of year2012-12-31$9,246,635
Value of interest in pooled separate accounts at beginning of year2012-12-31$7,539,749
Interest on participant loans2012-12-31$11,447
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$26,285
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$4,591
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$4,591
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$738
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$95,409
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$120,009
Net investment gain/loss from pooled separate accounts2012-12-31$946,999
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$297,736
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$872,477
Contract administrator fees2012-12-31$18,866
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31LESLEY THOMAS SCHWARZ & POSTMA INC.
Accountancy firm EIN2012-12-31953864890
2011 : PACIFIC MERCANTILE BANK 401(K) PLAN 2011 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$814,308
Total of all expenses incurred2011-12-31$643,516
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$613,782
Expenses. Certain deemed distributions of participant loans2011-12-31$13,078
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$951,309
Value of total assets at end of year2011-12-31$7,906,669
Value of total assets at beginning of year2011-12-31$7,735,877
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$16,656
Total interest from all sources2011-12-31$13,945
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$2,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$756,903
Participant contributions at end of year2011-12-31$242,296
Participant contributions at beginning of year2011-12-31$228,352
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$175,300
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$24
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$170,792
Value of net assets at end of year (total assets less liabilities)2011-12-31$7,906,669
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$7,735,877
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in pooled separate accounts at end of year2011-12-31$7,539,749
Value of interest in pooled separate accounts at beginning of year2011-12-31$7,290,678
Interest on participant loans2011-12-31$12,556
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$4,591
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$69,813
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$69,813
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$1,389
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$120,009
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$147,034
Net investment gain/loss from pooled separate accounts2011-12-31$-150,946
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$19,106
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$613,782
Contract administrator fees2011-12-31$16,656
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31LESLEY THOMAS SCHWARZ & POSTMA INC.
Accountancy firm EIN2011-12-31953864890
2010 : PACIFIC MERCANTILE BANK 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$1,843,878
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$994,562
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$958,908
Expenses. Certain deemed distributions of participant loans2010-12-31$15,669
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$969,875
Value of total assets at end of year2010-12-31$7,735,877
Value of total assets at beginning of year2010-12-31$6,886,561
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$19,985
Total interest from all sources2010-12-31$15,703
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$6,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$822,900
Participant contributions at end of year2010-12-31$228,352
Participant contributions at beginning of year2010-12-31$150,825
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$68,123
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$849,316
Value of net assets at end of year (total assets less liabilities)2010-12-31$7,735,877
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$6,886,561
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in pooled separate accounts at end of year2010-12-31$7,290,678
Value of interest in pooled separate accounts at beginning of year2010-12-31$6,569,598
Interest on participant loans2010-12-31$12,206
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$69,813
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$11,400
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$11,400
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$3,497
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$147,034
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$154,738
Net investment gain/loss from pooled separate accounts2010-12-31$858,300
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$78,852
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$958,908
Contract administrator fees2010-12-31$19,985
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31LESLEY THOMAS SCHWARZ & POSTMA INC.
Accountancy firm EIN2010-12-31953864890

Form 5500 Responses for PACIFIC MERCANTILE BANK 401(K) PLAN

2021: PACIFIC MERCANTILE BANK 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingYes
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: PACIFIC MERCANTILE BANK 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedYes
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: PACIFIC MERCANTILE BANK 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: PACIFIC MERCANTILE BANK 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: PACIFIC MERCANTILE BANK 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: PACIFIC MERCANTILE BANK 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: PACIFIC MERCANTILE BANK 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: PACIFIC MERCANTILE BANK 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: PACIFIC MERCANTILE BANK 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: PACIFIC MERCANTILE BANK 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: PACIFIC MERCANTILE BANK 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: PACIFIC MERCANTILE BANK 401(K) PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number074284
Policy instance 1
Insurance contract or identification number074284
Number of Individuals Covered0
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number074284
Policy instance 1
Insurance contract or identification number074284
Number of Individuals Covered230
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number074284
Policy instance 1
Insurance contract or identification number074284
Number of Individuals Covered249
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number074284
Policy instance 1
Insurance contract or identification number074284
Number of Individuals Covered244
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number074284
Policy instance 1
Insurance contract or identification number074284
Number of Individuals Covered246
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number074284
Policy instance 1
Insurance contract or identification number074284
Number of Individuals Covered254
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number70596
Policy instance 2
Insurance contract or identification number70596
Number of Individuals Covered0
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $28,129
Total amount of fees paid to insurance companyUSD $14,271
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $28,129
Insurance broker organization code?3
Amount paid for insurance broker fees7100
Additional information about fees paid to insurance brokerTPA FEES
Insurance broker namePENSION PROFESSIONALS, INC.
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number70596
Policy instance 1
Insurance contract or identification number70596
Number of Individuals Covered286
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $24,724
Total amount of fees paid to insurance companyUSD $11,844
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Commission paid to Insurance BrokerUSD $24,724
Insurance broker organization code?3
Amount paid for insurance broker fees6932
Additional information about fees paid to insurance brokerTPA FEES
Insurance broker namePENSION PROFESSIONALS, INC.
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number70596
Policy instance 1
Insurance contract or identification number70596
Number of Individuals Covered296
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $21,603
Total amount of fees paid to insurance companyUSD $9,096
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Commission paid to Insurance BrokerUSD $21,603
Insurance broker organization code?3
Amount paid for insurance broker fees9089
Additional information about fees paid to insurance brokerTPA FEES PAID; TPA COMPENSATION; TPA JH IRA R/O PAYMENT
Insurance broker nameT. ROWE PRICE ASSOCIATES, INC.
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number70596
Policy instance 1
Insurance contract or identification number70596
Number of Individuals Covered241
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $19,725
Total amount of fees paid to insurance companyUSD $6,124
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number70596
Policy instance 1
Insurance contract or identification number70596
Number of Individuals Covered225
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $17,943
Total amount of fees paid to insurance companyUSD $4,340
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Commission paid to Insurance BrokerUSD $17,943
Insurance broker organization code?3
Amount paid for insurance broker fees4339
Additional information about fees paid to insurance brokerTPA FEES, TPA COMPENSATION, TPA JH IRA R/O PAYMENT
Insurance broker nameVANGUARD GROUP, INC.

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