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SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 401k Plan overview

Plan NameSMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN
Plan identification number 002

SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • 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

SMITHERS OASIS COMPANY has sponsored the creation of one or more 401k plans.

Company Name:SMITHERS OASIS COMPANY
Employer identification number (EIN):341536399
NAIC Classification:326100

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022022-01-01
0022021-01-01
0022020-01-01
0022019-01-01
0022018-01-01
0022017-01-01JAMES M. STULL
0022017-01-01JAMES M. STULL
0022016-01-01JAMES M. STULL
0022015-01-01JAMES M. STULL
0022014-01-01JAMES M. STULL
0022013-01-01JAMES M. STULL
0022012-01-01JAMES M. STULL
0022011-01-01JAMES M. STULL
0022009-01-01JAMES M. STULL

Plan Statistics for SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN

401k plan membership statisitcs for SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN

Measure Date Value
2022: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01311
Total number of active participants reported on line 7a of the Form 55002022-01-01245
Number of retired or separated participants receiving benefits2022-01-014
Number of other retired or separated participants entitled to future benefits2022-01-0178
Total of all active and inactive participants2022-01-01327
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-013
Total participants2022-01-01330
Number of participants with account balances2022-01-01330
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01316
Total number of active participants reported on line 7a of the Form 55002021-01-01232
Number of retired or separated participants receiving benefits2021-01-012
Number of other retired or separated participants entitled to future benefits2021-01-0174
Total of all active and inactive participants2021-01-01308
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-013
Total participants2021-01-01311
Number of participants with account balances2021-01-01311
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01316
Total number of active participants reported on line 7a of the Form 55002020-01-01225
Number of retired or separated participants receiving benefits2020-01-011
Number of other retired or separated participants entitled to future benefits2020-01-0187
Total of all active and inactive participants2020-01-01313
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-013
Total participants2020-01-01316
Number of participants with account balances2020-01-01296
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01309
Total number of active participants reported on line 7a of the Form 55002019-01-01250
Number of retired or separated participants receiving benefits2019-01-012
Number of other retired or separated participants entitled to future benefits2019-01-0161
Total of all active and inactive participants2019-01-01313
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-013
Total participants2019-01-01316
Number of participants with account balances2019-01-01316
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01314
Total number of active participants reported on line 7a of the Form 55002018-01-01252
Number of retired or separated participants receiving benefits2018-01-011
Number of other retired or separated participants entitled to future benefits2018-01-0153
Total of all active and inactive participants2018-01-01306
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-013
Total participants2018-01-01309
Number of participants with account balances2018-01-01290
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01277
Total number of active participants reported on line 7a of the Form 55002017-01-01251
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0161
Total of all active and inactive participants2017-01-01312
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-012
Total participants2017-01-01314
Number of participants with account balances2017-01-01305
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01240
Total number of active participants reported on line 7a of the Form 55002016-01-01230
Number of retired or separated participants receiving benefits2016-01-011
Number of other retired or separated participants entitled to future benefits2016-01-0145
Total of all active and inactive participants2016-01-01276
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-011
Total participants2016-01-01277
Number of participants with account balances2016-01-01268
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01223
Total number of active participants reported on line 7a of the Form 55002015-01-01204
Number of retired or separated participants receiving benefits2015-01-011
Number of other retired or separated participants entitled to future benefits2015-01-0134
Total of all active and inactive participants2015-01-01239
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-011
Total participants2015-01-01240
Number of participants with account balances2015-01-01237
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-010
2014: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01208
Total number of active participants reported on line 7a of the Form 55002014-01-01188
Number of retired or separated participants receiving benefits2014-01-011
Number of other retired or separated participants entitled to future benefits2014-01-0134
Total of all active and inactive participants2014-01-01223
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01223
Number of participants with account balances2014-01-01217
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01226
Total number of active participants reported on line 7a of the Form 55002013-01-01185
Number of retired or separated participants receiving benefits2013-01-011
Number of other retired or separated participants entitled to future benefits2013-01-0122
Total of all active and inactive participants2013-01-01208
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01208
Number of participants with account balances2013-01-01200
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01211
Total number of active participants reported on line 7a of the Form 55002012-01-01188
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0138
Total of all active and inactive participants2012-01-01226
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01226
Number of participants with account balances2012-01-01219
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01223
Total number of active participants reported on line 7a of the Form 55002011-01-01179
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0132
Total of all active and inactive participants2011-01-01211
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01211
Number of participants with account balances2011-01-01211
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01160
Total number of active participants reported on line 7a of the Form 55002009-01-01174
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0138
Total of all active and inactive participants2009-01-01212
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01212
Number of participants with account balances2009-01-01211
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN

Measure Date Value
2022 : SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2022 401k financial data
Total income from all sources (including contributions)2022-12-31$-2,820,390
Total of all expenses incurred2022-12-31$2,188,321
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$2,128,721
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$3,068,892
Value of total assets at end of year2022-12-31$34,994,552
Value of total assets at beginning of year2022-12-31$40,003,263
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$59,600
Total interest from all sources2022-12-31$13,771
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$673,731
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$673,731
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$1,735,468
Participant contributions at end of year2022-12-31$273,428
Participant contributions at beginning of year2022-12-31$321,564
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$198,469
Value of other receiveables (less allowance for doubtful accounts) at end of year2022-12-31$8
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-12-31$3
Administrative expenses (other) incurred2022-12-31$59,600
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-5,008,711
Value of net assets at end of year (total assets less liabilities)2022-12-31$34,994,552
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$40,003,263
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$30,522,623
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$35,750,906
Interest on participant loans2022-12-31$13,769
Interest earned on other investments2022-12-31$2
Value of interest in common/collective trusts at end of year2022-12-31$3,597,663
Value of interest in common/collective trusts at beginning of year2022-12-31$3,388,314
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$202
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$200
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-6,635,216
Net investment gain or loss from common/collective trusts2022-12-31$58,432
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$1,134,955
Employer contributions (assets) at end of year2022-12-31$600,628
Employer contributions (assets) at beginning of year2022-12-31$542,276
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$2,128,721
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32022-12-31No
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31APPLE GROWTH PARTNERS
Accountancy firm EIN2022-12-31814504770
2021 : SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2021 401k financial data
Total income from all sources (including contributions)2021-12-31$6,529,496
Total of all expenses incurred2021-12-31$3,762,489
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$3,696,279
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$2,602,200
Value of total assets at end of year2021-12-31$40,003,263
Value of total assets at beginning of year2021-12-31$37,236,256
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$66,210
Total interest from all sources2021-12-31$14,935
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$622,860
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$622,860
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$1,584,665
Participant contributions at end of year2021-12-31$321,564
Participant contributions at beginning of year2021-12-31$291,588
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$451
Value of other receiveables (less allowance for doubtful accounts) at end of year2021-12-31$3
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2021-12-31$213
Administrative expenses (other) incurred2021-12-31$66,210
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$2,767,007
Value of net assets at end of year (total assets less liabilities)2021-12-31$40,003,263
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$37,236,256
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$35,750,906
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$32,454,363
Interest on participant loans2021-12-31$14,933
Interest earned on other investments2021-12-31$2
Value of interest in common/collective trusts at end of year2021-12-31$3,388,314
Value of interest in common/collective trusts at beginning of year2021-12-31$4,000,204
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$200
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$198
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$3,235,963
Net investment gain or loss from common/collective trusts2021-12-31$53,538
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 contributions2021-12-31Yes
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$1,017,084
Employer contributions (assets) at end of year2021-12-31$542,276
Employer contributions (assets) at beginning of year2021-12-31$489,690
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$3,696,279
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32021-12-31No
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31APPLE GROWTH PARTNERS
Accountancy firm EIN2021-12-31814504770
2020 : SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2020 401k financial data
Total income from all sources (including contributions)2020-12-31$6,605,950
Total of all expenses incurred2020-12-31$5,272,706
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$5,210,217
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$2,396,838
Value of total assets at end of year2020-12-31$37,236,256
Value of total assets at beginning of year2020-12-31$35,903,012
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$62,489
Total interest from all sources2020-12-31$16,065
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$578,066
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$578,066
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$1,427,485
Participant contributions at end of year2020-12-31$291,588
Participant contributions at beginning of year2020-12-31$304,034
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$48,410
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$213
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$334
Administrative expenses (other) incurred2020-12-31$62,489
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$1,333,244
Value of net assets at end of year (total assets less liabilities)2020-12-31$37,236,256
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$35,903,012
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$32,454,363
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$31,390,206
Value of interest in pooled separate accounts at end of year2020-12-31$0
Value of interest in pooled separate accounts at beginning of year2020-12-31$3,684,556
Interest on participant loans2020-12-31$16,063
Interest earned on other investments2020-12-31$2
Value of interest in common/collective trusts at end of year2020-12-31$4,000,204
Value of interest in common/collective trusts at beginning of year2020-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$198
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$196
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$3,549,778
Net investment gain/loss from pooled separate accounts2020-12-31$39,957
Net investment gain or loss from common/collective trusts2020-12-31$25,246
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$920,943
Employer contributions (assets) at end of year2020-12-31$489,690
Employer contributions (assets) at beginning of year2020-12-31$523,686
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$5,210,217
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32020-12-31No
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 name2020-12-31APPLE GROWTH PARTNERS
Accountancy firm EIN2020-12-31814504770
2019 : SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2019 401k financial data
Total income from all sources (including contributions)2019-12-31$8,108,782
Total of all expenses incurred2019-12-31$2,900,062
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$2,831,992
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$2,499,960
Value of total assets at end of year2019-12-31$35,903,012
Value of total assets at beginning of year2019-12-31$30,694,292
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$68,070
Total interest from all sources2019-12-31$14,226
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$709,609
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$709,609
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
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
Contributions received from participants2019-12-31$1,509,340
Participant contributions at end of year2019-12-31$304,034
Participant contributions at beginning of year2019-12-31$275,656
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-12-31$334
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-12-31$266
Administrative expenses (other) incurred2019-12-31$68,070
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$5,208,720
Value of net assets at end of year (total assets less liabilities)2019-12-31$35,903,012
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$30,694,292
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 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$31,390,206
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$25,649,569
Value of interest in pooled separate accounts at end of year2019-12-31$3,684,556
Value of interest in pooled separate accounts at beginning of year2019-12-31$4,260,900
Interest on participant loans2019-12-31$14,224
Interest earned on other investments2019-12-31$2
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$196
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$194
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$4,814,974
Net investment gain/loss from pooled separate accounts2019-12-31$70,013
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
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$990,620
Employer contributions (assets) at end of year2019-12-31$523,686
Employer contributions (assets) at beginning of year2019-12-31$507,707
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$2,831,992
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32019-12-31No
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
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
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31APPLE GROWTH PARTNERS
Accountancy firm EIN2019-12-31341082617
2018 : SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2018 401k financial data
Total income from all sources (including contributions)2018-12-31$875,558
Total of all expenses incurred2018-12-31$2,952,047
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$2,881,482
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$2,390,409
Value of total assets at end of year2018-12-31$30,694,292
Value of total assets at beginning of year2018-12-31$32,770,781
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$70,565
Total interest from all sources2018-12-31$13,427
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$645,235
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$645,235
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$1,428,447
Participant contributions at end of year2018-12-31$275,656
Participant contributions at beginning of year2018-12-31$292,631
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$13,578
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$266
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$129
Administrative expenses (other) incurred2018-12-31$70,565
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-2,076,489
Value of net assets at end of year (total assets less liabilities)2018-12-31$30,694,292
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$32,770,781
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$25,649,569
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$29,365,694
Value of interest in pooled separate accounts at end of year2018-12-31$4,260,900
Value of interest in pooled separate accounts at beginning of year2018-12-31$2,619,585
Interest on participant loans2018-12-31$13,425
Interest earned on other investments2018-12-31$2
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$194
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$192
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-2,216,742
Net investment gain/loss from pooled separate accounts2018-12-31$43,229
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$948,384
Employer contributions (assets) at end of year2018-12-31$507,707
Employer contributions (assets) at beginning of year2018-12-31$492,550
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$2,881,482
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31No
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 name2018-12-31APPLE GROWTH PARTNERS
Accountancy firm EIN2018-12-31341082617
2017 : SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2017 401k financial data
Total income from all sources (including contributions)2017-12-31$6,086,603
Total of all expenses incurred2017-12-31$1,255,047
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$1,191,626
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$2,011,468
Value of total assets at end of year2017-12-31$32,278,231
Value of total assets at beginning of year2017-12-31$27,446,675
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$63,421
Total interest from all sources2017-12-31$12,922
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$550,545
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$550,545
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$3,000,000
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$1,324,860
Participant contributions at end of year2017-12-31$292,631
Participant contributions at beginning of year2017-12-31$310,441
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$282,100
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$129
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$109
Administrative expenses (other) incurred2017-12-31$63,421
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$4,831,556
Value of net assets at end of year (total assets less liabilities)2017-12-31$32,278,231
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$27,446,675
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$29,365,694
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$23,388,954
Value of interest in pooled separate accounts at end of year2017-12-31$2,619,585
Value of interest in pooled separate accounts at beginning of year2017-12-31$3,304,589
Interest on participant loans2017-12-31$12,920
Interest earned on other investments2017-12-31$2
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$192
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$5
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$3,479,179
Net investment gain/loss from pooled separate accounts2017-12-31$32,489
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$404,508
Employer contributions (assets) at end of year2017-12-31$0
Employer contributions (assets) at beginning of year2017-12-31$442,577
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$1,191,626
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31No
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 name2017-12-31APPLE GROWTH PARTNERS
Accountancy firm EIN2017-12-31341082617
2016 : SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2016 401k financial data
Total income from all sources (including contributions)2016-12-31$3,774,217
Total of all expenses incurred2016-12-31$2,164,510
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$2,110,074
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$1,986,837
Value of total assets at end of year2016-12-31$27,446,675
Value of total assets at beginning of year2016-12-31$25,836,968
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$54,436
Total interest from all sources2016-12-31$12,349
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$462,313
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$462,313
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$3,000,000
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$1,170,508
Participant contributions at end of year2016-12-31$310,441
Participant contributions at beginning of year2016-12-31$282,295
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$4,746
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$109
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$116
Administrative expenses (other) incurred2016-12-31$54,436
Total non interest bearing cash at beginning of year2016-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$1,609,707
Value of net assets at end of year (total assets less liabilities)2016-12-31$27,446,675
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$25,836,968
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$23,388,954
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$22,941,348
Value of interest in pooled separate accounts at end of year2016-12-31$3,304,589
Value of interest in pooled separate accounts at beginning of year2016-12-31$2,204,904
Interest on participant loans2016-12-31$12,337
Interest earned on other investments2016-12-31$12
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$5
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$473
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$1,283,715
Net investment gain/loss from pooled separate accounts2016-12-31$29,003
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$811,583
Employer contributions (assets) at end of year2016-12-31$442,577
Employer contributions (assets) at beginning of year2016-12-31$407,832
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$2,110,074
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32016-12-31No
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 name2016-12-31APPLE GROWTH PARTNERS
Accountancy firm EIN2016-12-31341082617
2015 : SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2015 401k financial data
Total income from all sources (including contributions)2015-12-31$1,674,053
Total of all expenses incurred2015-12-31$1,999,442
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,945,323
Value of total corrective distributions2015-12-31$688
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$1,903,056
Value of total assets at end of year2015-12-31$25,836,968
Value of total assets at beginning of year2015-12-31$26,162,357
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$53,431
Total interest from all sources2015-12-31$11,842
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$495,881
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$495,881
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$3,000,000
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$1,083,802
Participant contributions at end of year2015-12-31$282,295
Participant contributions at beginning of year2015-12-31$298,565
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$50,042
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$116
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$46
Administrative expenses (other) incurred2015-12-31$53,431
Total non interest bearing cash at end of year2015-12-31$0
Total non interest bearing cash at beginning of year2015-12-31$3
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-325,389
Value of net assets at end of year (total assets less liabilities)2015-12-31$25,836,968
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$26,162,357
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$22,941,348
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$23,672,222
Value of interest in pooled separate accounts at end of year2015-12-31$2,204,904
Value of interest in pooled separate accounts at beginning of year2015-12-31$1,796,171
Interest on participant loans2015-12-31$11,837
Interest earned on other investments2015-12-31$5
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$473
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$508
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-759,510
Net investment gain/loss from pooled separate accounts2015-12-31$22,784
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$769,212
Employer contributions (assets) at end of year2015-12-31$407,832
Employer contributions (assets) at beginning of year2015-12-31$394,842
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,945,323
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32015-12-31No
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 name2015-12-31APPLE GROWTH PARTNERS
Accountancy firm EIN2015-12-31341082617
2014 : SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2014 401k financial data
Total income from all sources (including contributions)2014-12-31$3,370,653
Total of all expenses incurred2014-12-31$2,963,753
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$2,911,041
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$1,723,286
Value of total assets at end of year2014-12-31$26,162,357
Value of total assets at beginning of year2014-12-31$25,755,457
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$52,712
Total interest from all sources2014-12-31$13,168
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$476,866
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$476,866
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$3,000,000
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$943,358
Participant contributions at end of year2014-12-31$298,565
Participant contributions at beginning of year2014-12-31$265,349
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$87,278
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$46
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$12
Administrative expenses (other) incurred2014-12-31$52,712
Total non interest bearing cash at end of year2014-12-31$3
Total non interest bearing cash at beginning of year2014-12-31$3
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$406,900
Value of net assets at end of year (total assets less liabilities)2014-12-31$26,162,357
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$25,755,457
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$23,672,222
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$23,468,823
Value of interest in pooled separate accounts at end of year2014-12-31$1,796,171
Value of interest in pooled separate accounts at beginning of year2014-12-31$1,631,981
Interest on participant loans2014-12-31$13,168
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$508
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$1,135,669
Net investment gain/loss from pooled separate accounts2014-12-31$21,664
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$692,650
Employer contributions (assets) at end of year2014-12-31$394,842
Employer contributions (assets) at beginning of year2014-12-31$389,289
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$2,911,041
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32014-12-31No
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 name2014-12-31APPLE GROWTH PARTNERS
Accountancy firm EIN2014-12-31341082617
2013 : SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2013 401k financial data
Total income from all sources (including contributions)2013-12-31$5,182,162
Total of all expenses incurred2013-12-31$2,479,316
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$2,420,882
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,694,785
Value of total assets at end of year2013-12-31$25,755,457
Value of total assets at beginning of year2013-12-31$23,052,611
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$58,434
Total interest from all sources2013-12-31$11,713
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$421,623
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$421,623
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$3,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$931,748
Participant contributions at end of year2013-12-31$265,349
Participant contributions at beginning of year2013-12-31$289,962
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$70,817
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$12
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$0
Administrative expenses (other) incurred2013-12-31$58,434
Total non interest bearing cash at end of year2013-12-31$3
Total non interest bearing cash at beginning of year2013-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$2,702,846
Value of net assets at end of year (total assets less liabilities)2013-12-31$25,755,457
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$23,052,611
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$23,468,823
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$20,954,954
Value of interest in pooled separate accounts at end of year2013-12-31$1,631,981
Value of interest in pooled separate accounts at beginning of year2013-12-31$1,425,208
Interest on participant loans2013-12-31$11,713
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$3,032,088
Net investment gain/loss from pooled separate accounts2013-12-31$21,953
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$692,220
Employer contributions (assets) at end of year2013-12-31$389,289
Employer contributions (assets) at beginning of year2013-12-31$382,487
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$2,420,882
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-12-31No
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 name2013-12-31APPLE GROWTH PARTNERS
Accountancy firm EIN2013-12-31341082617
2012 : SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2012 401k financial data
Total income from all sources (including contributions)2012-12-31$4,177,321
Total of all expenses incurred2012-12-31$1,475,588
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,433,083
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,757,725
Value of total assets at end of year2012-12-31$23,052,611
Value of total assets at beginning of year2012-12-31$20,350,878
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$42,505
Total interest from all sources2012-12-31$12,958
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$472,732
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$472,732
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$929,703
Participant contributions at end of year2012-12-31$289,962
Participant contributions at beginning of year2012-12-31$313,973
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$141,485
Administrative expenses (other) incurred2012-12-31$42,505
Total non interest bearing cash at end of year2012-12-31$0
Total non interest bearing cash at beginning of year2012-12-31$797
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$2,701,733
Value of net assets at end of year (total assets less liabilities)2012-12-31$23,052,611
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$20,350,878
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$20,954,954
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$18,884,049
Value of interest in pooled separate accounts at end of year2012-12-31$1,425,208
Value of interest in pooled separate accounts at beginning of year2012-12-31$783,548
Interest on participant loans2012-12-31$12,958
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$1,918,456
Net investment gain/loss from pooled separate accounts2012-12-31$15,450
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$686,537
Employer contributions (assets) at end of year2012-12-31$382,487
Employer contributions (assets) at beginning of year2012-12-31$368,511
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,433,083
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-12-31No
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 name2012-12-31APPLE GROWTH PARTNERS
Accountancy firm EIN2012-12-31341082617
2011 : SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2011 401k financial data
Total income from all sources (including contributions)2011-12-31$1,418,575
Total of all expenses incurred2011-12-31$1,226,735
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,212,547
Expenses. Certain deemed distributions of participant loans2011-12-31$11,615
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,744,853
Value of total assets at end of year2011-12-31$20,350,878
Value of total assets at beginning of year2011-12-31$20,159,038
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$2,573
Total interest from all sources2011-12-31$559,647
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$894,147
Participant contributions at end of year2011-12-31$313,973
Participant contributions at beginning of year2011-12-31$238,910
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$186,036
Administrative expenses (other) incurred2011-12-31$2,573
Total non interest bearing cash at end of year2011-12-31$797
Total non interest bearing cash at beginning of year2011-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$191,840
Value of net assets at end of year (total assets less liabilities)2011-12-31$20,350,878
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$20,159,038
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$18,884,049
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$284,556
Value of interest in pooled separate accounts at end of year2011-12-31$783,548
Value of interest in pooled separate accounts at beginning of year2011-12-31$13,958,901
Interest on participant loans2011-12-31$12,830
Interest earned on other investments2011-12-31$546,817
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$5,315,507
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$475,932
Net investment gain/loss from pooled separate accounts2011-12-31$-1,361,857
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$664,670
Employer contributions (assets) at end of year2011-12-31$368,511
Employer contributions (assets) at beginning of year2011-12-31$361,164
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,212,547
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31Yes
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 name2011-12-31APPLE GROWTH PARTNERS
Accountancy firm EIN2011-12-31341082617
2010 : SMITHERS-OASIS COMPANY RETIREMENT SAVINGS 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$3,380,761
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$616,251
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$611,678
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,459,050
Value of total assets at end of year2010-12-31$20,159,038
Value of total assets at beginning of year2010-12-31$17,394,528
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$4,573
Total interest from all sources2010-12-31$153,585
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$2,551
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$2,551
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$814,258
Participant contributions at end of year2010-12-31$238,910
Participant contributions at beginning of year2010-12-31$161,379
Participant contributions at end of year2010-12-31$0
Participant contributions at beginning of year2010-12-31$21,463
Administrative expenses (other) incurred2010-12-31$4,573
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$2,764,510
Value of net assets at end of year (total assets less liabilities)2010-12-31$20,159,038
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$17,394,528
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$284,556
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$159,847
Value of interest in pooled separate accounts at end of year2010-12-31$13,958,901
Value of interest in pooled separate accounts at beginning of year2010-12-31$11,761,249
Interest on participant loans2010-12-31$10,604
Interest earned on other investments2010-12-31$142,981
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$5,315,507
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$4,936,931
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$51,095
Net investment gain/loss from pooled separate accounts2010-12-31$1,714,480
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$644,792
Employer contributions (assets) at end of year2010-12-31$361,164
Employer contributions (assets) at beginning of year2010-12-31$353,659
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$611,678
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 name2010-12-31APPLE GROWTH PARTNERS
Accountancy firm EIN2010-12-31341082617
2009 : SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN

2022: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
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: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
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: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
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: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
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: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedYes
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: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
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: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
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: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
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: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
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: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
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: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
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: SMITHERS-OASIS COMPANY RETIREMENT SAVINGS 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

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62620
Policy instance 1
Insurance contract or identification numberQK62620
Number of Individuals Covered330
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62620
Policy instance 1
Insurance contract or identification numberQK62620
Number of Individuals Covered311
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62620
Policy instance 1
Insurance contract or identification numberQK62620
Number of Individuals Covered296
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62620
Policy instance 1
Insurance contract or identification numberQK62620
Number of Individuals Covered316
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62620
Policy instance 1
Insurance contract or identification numberQK62620
Number of Individuals Covered305
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62620
Policy instance 1
Insurance contract or identification numberQK62620
Number of Individuals Covered237
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62620
Policy instance 1
Insurance contract or identification numberQK62620
Number of Individuals Covered217
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62620
Policy instance 1
Insurance contract or identification numberQK62620
Number of Individuals Covered200
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62620
Policy instance 1
Insurance contract or identification numberQK62620
Number of Individuals Covered219
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
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 number31325-001
Policy instance 1
Insurance contract or identification number31325-001
Number of Individuals Covered0
Insurance policy start date2011-01-01
Insurance policy end date2011-10-05
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )
Policy contract numberQK62620
Policy instance 2
Insurance contract or identification numberQK62620
Number of Individuals Covered211
Insurance policy start date2011-10-06
Insurance policy end date2011-12-31
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )
Policy contract number31325-001
Policy instance 1
Insurance contract or identification number31325-001
Number of Individuals Covered223
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
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

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