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THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 401k Plan overview

Plan NameTHE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN
Plan identification number 002

THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE 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.
  • ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
  • 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.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

NORTHERN TRUST COMPANY has sponsored the creation of one or more 401k plans.

Company Name:NORTHERN TRUST COMPANY
Employer identification number (EIN):361561860
NAIC Classification:522110
NAIC Description:Commercial Banking

Additional information about NORTHERN TRUST COMPANY

Jurisdiction of Incorporation: Texas Secretary of State
Incorporation Date: 2012-01-24
Company Identification Number: 0801539966
Legal Registered Office Address: 50 S LA SALLE ST

CHICAGO
United States of America (USA)
60603

More information about NORTHERN TRUST COMPANY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE 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
0022017-01-01KIMBERLY SOPPI NEIL KRUS2018-10-11
0022016-01-01KIM SOPPI NEIL KRUS2017-10-13
0022015-01-01KIM SOPPI NEIL KRUS2016-09-14
0022015-01-01KIMBERLY SOPPI NEIL KRUS2016-09-14
0022014-01-01KIMBERLY SOPPI
0022014-01-01KIMBERLY SOPPI NEIL KRUS2015-10-15
0022013-01-01KIM SOPPI KIM SOPPI2014-10-07
0022012-01-01ANNETTE DOORHY-CRANLEY KIM SOPPI2013-10-10
0022011-01-01ANNETTE DOORHY-CRANLEY KIM SOPPI2012-10-15
0022010-01-01ANNETTE DOORHY-CRANLEY KIM SOPPI2012-09-21
0022009-01-01ANNETTE DOORHY-CRANLEY KIM SOPPI2012-08-27
0022009-01-01ANNETTE DOORHY-CRANLEY KIM SOPPI2012-09-21
0022009-01-01KIMBERLY SOPPI KIMBERLY SOPPI2010-10-07

Plan Statistics for THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN

401k plan membership statisitcs for THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN

Measure Date Value
2022: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-0113,170
Total number of active participants reported on line 7a of the Form 55002022-01-019,829
Number of retired or separated participants receiving benefits2022-01-0123
Number of other retired or separated participants entitled to future benefits2022-01-014,306
Total of all active and inactive participants2022-01-0114,158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-0112
Total participants2022-01-0114,170
Number of participants with account balances2022-01-0114,014
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-01457
2021: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-0112,646
Total number of active participants reported on line 7a of the Form 55002021-01-019,107
Number of retired or separated participants receiving benefits2021-01-0121
Number of other retired or separated participants entitled to future benefits2021-01-014,033
Total of all active and inactive participants2021-01-0113,161
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-019
Total participants2021-01-0113,170
Number of participants with account balances2021-01-0112,969
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-01501
2020: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-0112,742
Total number of active participants reported on line 7a of the Form 55002020-01-019,308
Number of retired or separated participants receiving benefits2020-01-016
Number of other retired or separated participants entitled to future benefits2020-01-013,326
Total of all active and inactive participants2020-01-0112,640
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-016
Total participants2020-01-0112,646
Number of participants with account balances2020-01-0112,524
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-01253
2019: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-0112,464
Total number of active participants reported on line 7a of the Form 55002019-01-019,173
Number of retired or separated participants receiving benefits2019-01-0115
Number of other retired or separated participants entitled to future benefits2019-01-013,547
Total of all active and inactive participants2019-01-0112,735
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-017
Total participants2019-01-0112,742
Number of participants with account balances2019-01-0112,574
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-01421
2018: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-0112,210
Total number of active participants reported on line 7a of the Form 55002018-01-019,247
Number of retired or separated participants receiving benefits2018-01-0110
Number of other retired or separated participants entitled to future benefits2018-01-013,197
Total of all active and inactive participants2018-01-0112,454
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-0110
Total participants2018-01-0112,464
Number of participants with account balances2018-01-0112,228
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-01445
2017: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-0112,725
Total number of active participants reported on line 7a of the Form 55002017-01-019,416
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-012,782
Total of all active and inactive participants2017-01-0112,198
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-0112
Total participants2017-01-0112,210
Number of participants with account balances2017-01-0111,966
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-01319
2016: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-0112,455
Total number of active participants reported on line 7a of the Form 55002016-01-0110,167
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-012,551
Total of all active and inactive participants2016-01-0112,718
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-017
Total participants2016-01-0112,725
Number of participants with account balances2016-01-0111,603
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-01388
2015: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-0112,098
Total number of active participants reported on line 7a of the Form 55002015-01-019,978
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-012,466
Total of all active and inactive participants2015-01-0112,444
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-0111
Total participants2015-01-0112,455
Number of participants with account balances2015-01-0111,513
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-01376
2014: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-0111,793
Total number of active participants reported on line 7a of the Form 55002014-01-019,709
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-012,377
Total of all active and inactive participants2014-01-0112,086
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-0112
Total participants2014-01-0112,098
Number of participants with account balances2014-01-0111,227
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-01345
2013: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-0111,513
Total number of active participants reported on line 7a of the Form 55002013-01-019,587
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-012,163
Total of all active and inactive participants2013-01-0111,750
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-0124
Total participants2013-01-0111,774
Number of participants with account balances2013-01-0110,919
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-01254
2012: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-0110,974
Total number of active participants reported on line 7a of the Form 55002012-01-019,337
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-012,140
Total of all active and inactive participants2012-01-0111,477
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-0128
Total participants2012-01-0111,505
Number of participants with account balances2012-01-0110,799
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-01300
2011: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-0110,671
Total number of active participants reported on line 7a of the Form 55002011-01-019,515
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-012,092
Total of all active and inactive participants2011-01-0111,607
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-0123
Total participants2011-01-0111,630
Number of participants with account balances2011-01-0110,962
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-01301
2010: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-0110,657
Total number of active participants reported on line 7a of the Form 55002010-01-019,768
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-011,987
Total of all active and inactive participants2010-01-0111,755
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-0139
Total participants2010-01-0111,794
Number of participants with account balances2010-01-0110,631
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-01274
2009: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-0110,584
Total number of active participants reported on line 7a of the Form 55002009-01-0110,219
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-012,007
Total of all active and inactive participants2009-01-0112,226
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-0139
Total participants2009-01-0112,265
Number of participants with account balances2009-01-0110,552
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-01286

Financial Data on THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN

Measure Date Value
2022 : THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2022 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2022-12-31$-84,550,105
Total unrealized appreciation/depreciation of assets2022-12-31$-84,550,105
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$751,219
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$255,563
Total income from all sources (including contributions)2022-12-31$-349,728,741
Total loss/gain on sale of assets2022-12-31$6,080,930
Total of all expenses incurred2022-12-31$235,980,194
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$234,091,746
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$172,507,632
Value of total assets at end of year2022-12-31$2,524,064,139
Value of total assets at beginning of year2022-12-31$3,109,277,418
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$1,888,448
Total interest from all sources2022-12-31$6,864,730
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$9,269,482
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$1,887,813
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$150,000,000
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$117,008,442
Participant contributions at end of year2022-12-31$24,541,496
Participant contributions at beginning of year2022-12-31$25,373,631
Participant contributions at end of year2022-12-31$3,647,866
Participant contributions at beginning of year2022-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$26,004,793
Value of other receiveables (less allowance for doubtful accounts) at end of year2022-12-31$2,325,568
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-12-31$1,818,234
Liabilities. Value of operating payables at end of year2022-12-31$751,219
Liabilities. Value of operating payables at beginning of year2022-12-31$255,563
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-585,708,935
Value of net assets at end of year (total assets less liabilities)2022-12-31$2,523,312,920
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$3,109,021,855
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
Investment advisory and management fees2022-12-31$1,888,448
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$116,734,724
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$243,505,609
Interest on participant loans2022-12-31$1,163,483
Interest earned on other investments2022-12-31$5,701,247
Value of interest in common/collective trusts at end of year2022-12-31$2,151,676,132
Value of interest in common/collective trusts at beginning of year2022-12-31$2,531,303,105
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-38,519,206
Net investment gain or loss from common/collective trusts2022-12-31$-421,382,204
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
Assets. Invements in employer securities at end of year2022-12-31$223,534,943
Assets. Invements in employer securities at beginning of year2022-12-31$305,979,843
Contributions received in cash from employer2022-12-31$29,494,397
Employer contributions (assets) at end of year2022-12-31$1,603,410
Employer contributions (assets) at beginning of year2022-12-31$1,296,996
Income. Dividends from common stock2022-12-31$7,381,669
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$234,091,746
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
Aggregate proceeds on sale of assets2022-12-31$12,210,547
Aggregate carrying amount (costs) on sale of assets2022-12-31$6,129,617
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31GJC CPA'S & ADVISORS
Accountancy firm EIN2022-12-31270475249
2021 : THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2021 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2021-12-31$57,848,178
Total unrealized appreciation/depreciation of assets2021-12-31$57,848,178
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$255,563
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$234,650
Total income from all sources (including contributions)2021-12-31$639,321,661
Total loss/gain on sale of assets2021-12-31$15,777,987
Total of all expenses incurred2021-12-31$291,973,870
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$290,044,688
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$167,727,106
Value of total assets at end of year2021-12-31$3,109,277,418
Value of total assets at beginning of year2021-12-31$2,761,908,714
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$1,929,182
Total interest from all sources2021-12-31$7,511,055
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$10,508,071
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$3,030,236
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$150,000,000
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$105,030,632
Participant contributions at end of year2021-12-31$25,373,631
Participant contributions at beginning of year2021-12-31$26,171,496
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$35,085,499
Value of other receiveables (less allowance for doubtful accounts) at end of year2021-12-31$1,818,234
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2021-12-31$2,064,299
Liabilities. Value of operating payables at end of year2021-12-31$255,563
Liabilities. Value of operating payables at beginning of year2021-12-31$234,650
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$347,347,791
Value of net assets at end of year (total assets less liabilities)2021-12-31$3,109,021,855
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$2,761,674,064
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
Investment advisory and management fees2021-12-31$1,929,182
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$243,505,609
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$220,696,657
Interest on participant loans2021-12-31$1,280,491
Interest earned on other investments2021-12-31$6,230,564
Value of interest in common/collective trusts at end of year2021-12-31$2,531,303,105
Value of interest in common/collective trusts at beginning of year2021-12-31$2,241,588,704
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$18,191,266
Net investment gain or loss from common/collective trusts2021-12-31$361,757,998
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
Assets. Invements in employer securities at end of year2021-12-31$305,979,843
Assets. Invements in employer securities at beginning of year2021-12-31$270,144,467
Contributions received in cash from employer2021-12-31$27,610,975
Employer contributions (assets) at end of year2021-12-31$1,296,996
Employer contributions (assets) at beginning of year2021-12-31$1,243,091
Income. Dividends from common stock2021-12-31$7,477,835
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$290,044,688
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
Aggregate proceeds on sale of assets2021-12-31$27,901,666
Aggregate carrying amount (costs) on sale of assets2021-12-31$12,123,679
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31GEORGE JOHNSON & COMPANY
Accountancy firm EIN2021-12-31270475249
2020 : THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2020 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2020-12-31$-50,866,258
Total unrealized appreciation/depreciation of assets2020-12-31$-50,866,258
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$234,650
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$332,621
Total income from all sources (including contributions)2020-12-31$421,034,035
Total loss/gain on sale of assets2020-12-31$11,859,295
Total of all expenses incurred2020-12-31$186,764,425
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$185,153,590
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$141,657,645
Value of total assets at end of year2020-12-31$2,761,908,714
Value of total assets at beginning of year2020-12-31$2,527,737,075
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$1,610,835
Total interest from all sources2020-12-31$6,895,259
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$9,891,528
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$1,395,295
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$150,000,000
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$101,643,219
Participant contributions at end of year2020-12-31$26,171,496
Participant contributions at beginning of year2020-12-31$27,371,217
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$12,824,294
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$2,064,299
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$2,185,975
Liabilities. Value of operating payables at end of year2020-12-31$234,650
Liabilities. Value of operating payables at beginning of year2020-12-31$332,621
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$234,269,610
Value of net assets at end of year (total assets less liabilities)2020-12-31$2,761,674,064
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$2,527,404,454
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
Investment advisory and management fees2020-12-31$1,610,835
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$220,696,657
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$211,658,713
Interest on participant loans2020-12-31$1,422,890
Interest earned on other investments2020-12-31$5,472,369
Value of interest in common/collective trusts at end of year2020-12-31$2,241,588,704
Value of interest in common/collective trusts at beginning of year2020-12-31$1,961,608,607
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$23,609,471
Net investment gain or loss from common/collective trusts2020-12-31$277,987,095
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
Assets. Invements in employer securities at end of year2020-12-31$270,144,467
Assets. Invements in employer securities at beginning of year2020-12-31$323,732,934
Contributions received in cash from employer2020-12-31$27,190,132
Employer contributions (assets) at end of year2020-12-31$1,243,091
Employer contributions (assets) at beginning of year2020-12-31$1,179,629
Income. Dividends from common stock2020-12-31$8,496,233
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$185,153,590
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
Aggregate proceeds on sale of assets2020-12-31$28,170,227
Aggregate carrying amount (costs) on sale of assets2020-12-31$16,310,932
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31GEORGE JOHNSON & COMPANY
Accountancy firm EIN2020-12-31270475249
2019 : THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2019 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2019-12-31$55,620,455
Total unrealized appreciation/depreciation of assets2019-12-31$55,620,455
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$332,621
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$270,525
Total income from all sources (including contributions)2019-12-31$633,907,026
Total loss/gain on sale of assets2019-12-31$20,483,996
Total of all expenses incurred2019-12-31$197,942,105
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$196,349,706
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$151,960,207
Value of total assets at end of year2019-12-31$2,527,737,075
Value of total assets at beginning of year2019-12-31$2,091,710,058
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$1,592,399
Total interest from all sources2019-12-31$7,274,982
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$11,246,022
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$2,778,452
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$150,000,000
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$93,900,016
Participant contributions at end of year2019-12-31$27,371,217
Participant contributions at beginning of year2019-12-31$26,995,070
Participant contributions at end of year2019-12-31$0
Participant contributions at beginning of year2019-12-31$2,711,069
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$32,533,247
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-12-31$2,185,975
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-12-31$1,987,184
Liabilities. Value of operating payables at end of year2019-12-31$332,621
Liabilities. Value of operating payables at beginning of year2019-12-31$270,525
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$435,964,921
Value of net assets at end of year (total assets less liabilities)2019-12-31$2,527,404,454
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$2,091,439,533
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
Investment advisory and management fees2019-12-31$1,592,399
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$211,658,713
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$139,541,394
Interest on participant loans2019-12-31$1,442,447
Interest earned on other investments2019-12-31$5,832,535
Value of interest in common/collective trusts at end of year2019-12-31$1,961,608,607
Value of interest in common/collective trusts at beginning of year2019-12-31$1,623,275,311
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$34,826,967
Net investment gain or loss from common/collective trusts2019-12-31$352,494,397
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
Assets. Invements in employer securities at end of year2019-12-31$323,732,934
Assets. Invements in employer securities at beginning of year2019-12-31$295,295,384
Contributions received in cash from employer2019-12-31$25,526,944
Employer contributions (assets) at end of year2019-12-31$1,179,629
Employer contributions (assets) at beginning of year2019-12-31$1,904,646
Income. Dividends from common stock2019-12-31$8,467,570
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$196,349,706
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
Aggregate proceeds on sale of assets2019-12-31$42,212,581
Aggregate carrying amount (costs) on sale of assets2019-12-31$21,728,585
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Opinion of an independent qualified public accountant for this plan2019-12-31Unqualified
Accountancy firm name2019-12-31GEORGE JOHNSON & COMPANY
Accountancy firm EIN2019-12-31270475249
2018 : THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2018-12-31$-93,550,805
Total unrealized appreciation/depreciation of assets2018-12-31$-93,550,805
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$270,525
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$321,843
Total income from all sources (including contributions)2018-12-31$-8,194,246
Total loss/gain on sale of assets2018-12-31$51,120,008
Total of all expenses incurred2018-12-31$197,919,878
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$195,922,855
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$153,293,642
Value of total assets at end of year2018-12-31$2,091,710,058
Value of total assets at beginning of year2018-12-31$2,297,875,500
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$1,997,023
Total interest from all sources2018-12-31$6,528,779
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$8,991,316
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$923,209
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$150,000,000
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$88,645,220
Participant contributions at end of year2018-12-31$26,995,070
Participant contributions at beginning of year2018-12-31$26,427,183
Participant contributions at end of year2018-12-31$2,711,069
Participant contributions at beginning of year2018-12-31$2,617,195
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$40,090,664
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$1,987,184
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$1,722,513
Liabilities. Value of operating payables at end of year2018-12-31$270,525
Liabilities. Value of operating payables at beginning of year2018-12-31$321,843
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-206,114,124
Value of net assets at end of year (total assets less liabilities)2018-12-31$2,091,439,533
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$2,297,553,657
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
Investment advisory and management fees2018-12-31$1,997,023
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$139,541,394
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$159,269,673
Value of interest in pooled separate accounts at end of year2018-12-31$0
Value of interest in pooled separate accounts at beginning of year2018-12-31$14,884,683
Interest on participant loans2018-12-31$1,271,039
Interest earned on other investments2018-12-31$5,257,740
Value of interest in common/collective trusts at end of year2018-12-31$1,623,275,311
Value of interest in common/collective trusts at beginning of year2018-12-31$1,597,730,064
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-14,638,031
Net investment gain/loss from pooled separate accounts2018-12-31$112,348
Net investment gain or loss from common/collective trusts2018-12-31$-120,051,503
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
Assets. Invements in employer securities at end of year2018-12-31$295,295,384
Assets. Invements in employer securities at beginning of year2018-12-31$380,876,075
Contributions received in cash from employer2018-12-31$24,557,758
Employer contributions (assets) at end of year2018-12-31$1,904,646
Employer contributions (assets) at beginning of year2018-12-31$1,851,317
Income. Dividends from common stock2018-12-31$8,068,107
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$195,922,855
Assets. Corporate common stocks other than exployer securities at end of year2018-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2018-12-31$112,496,797
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
Aggregate proceeds on sale of assets2018-12-31$279,338,473
Aggregate carrying amount (costs) on sale of assets2018-12-31$228,218,465
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31No
Opinion of an independent qualified public accountant for this plan2018-12-31Unqualified
Accountancy firm name2018-12-31GEORGE JOHNSON & COMPANY
Accountancy firm EIN2018-12-31270475249
2017 : THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$30,491,017
Total unrealized appreciation/depreciation of assets2017-12-31$30,491,017
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$321,843
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$300,114
Total income from all sources (including contributions)2017-12-31$452,299,811
Total loss/gain on sale of assets2017-12-31$32,203,441
Total of all expenses incurred2017-12-31$160,039,949
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$157,994,383
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$133,242,483
Value of total assets at end of year2017-12-31$2,297,875,500
Value of total assets at beginning of year2017-12-31$2,005,593,909
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$2,045,566
Total interest from all sources2017-12-31$5,421,805
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$9,518,431
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$1,370,610
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$150,000,000
If this is an individual account plan, was there a blackout period2017-12-31Yes
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$84,876,355
Participant contributions at end of year2017-12-31$26,427,183
Participant contributions at beginning of year2017-12-31$26,470,898
Participant contributions at end of year2017-12-31$2,617,195
Participant contributions at beginning of year2017-12-31$2,544,598
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$25,143,668
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$1,722,513
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$1,883,143
Liabilities. Value of operating payables at end of year2017-12-31$321,843
Liabilities. Value of operating payables at beginning of year2017-12-31$300,114
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$292,259,862
Value of net assets at end of year (total assets less liabilities)2017-12-31$2,297,553,657
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$2,005,293,795
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
Investment advisory and management fees2017-12-31$2,045,566
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$159,269,673
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$159,948,562
Value of interest in pooled separate accounts at end of year2017-12-31$14,884,683
Value of interest in pooled separate accounts at beginning of year2017-12-31$16,467,311
Interest on participant loans2017-12-31$1,169,142
Interest earned on other investments2017-12-31$4,252,663
Value of interest in common/collective trusts at end of year2017-12-31$1,597,730,064
Value of interest in common/collective trusts at beginning of year2017-12-31$1,312,464,348
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$30,741,167
Net investment gain/loss from pooled separate accounts2017-12-31$14,395
Net investment gain or loss from common/collective trusts2017-12-31$210,667,072
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
Assets. Invements in employer securities at end of year2017-12-31$380,876,075
Assets. Invements in employer securities at beginning of year2017-12-31$381,019,126
Contributions received in cash from employer2017-12-31$23,222,460
Employer contributions (assets) at end of year2017-12-31$1,851,317
Employer contributions (assets) at beginning of year2017-12-31$1,664,530
Income. Dividends from common stock2017-12-31$8,147,821
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$157,994,383
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31Yes
Assets. Corporate common stocks other than exployer securities at end of year2017-12-31$112,496,797
Assets. Corporate common stocks other than exployer securities at beginning of year2017-12-31$103,131,393
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
Aggregate proceeds on sale of assets2017-12-31$141,861,422
Aggregate carrying amount (costs) on sale of assets2017-12-31$109,657,981
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31No
Opinion of an independent qualified public accountant for this plan2017-12-31Unqualified
Accountancy firm name2017-12-31GEORGE JOHNSON & COMPANY
Accountancy firm EIN2017-12-31270475249
2016 : THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2016-12-31$56,689,684
Total unrealized appreciation/depreciation of assets2016-12-31$56,689,684
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$300,114
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$190,787
Total income from all sources (including contributions)2016-12-31$330,535,025
Total loss/gain on sale of assets2016-12-31$23,057,806
Total of all expenses incurred2016-12-31$165,249,345
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$163,176,795
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$129,891,977
Value of total assets at end of year2016-12-31$2,005,593,909
Value of total assets at beginning of year2016-12-31$1,840,198,902
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$2,072,550
Total interest from all sources2016-12-31$4,739,662
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$10,125,429
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$1,503,399
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$150,000,000
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$78,898,504
Participant contributions at end of year2016-12-31$26,470,898
Participant contributions at beginning of year2016-12-31$27,276,142
Participant contributions at end of year2016-12-31$2,544,598
Participant contributions at beginning of year2016-12-31$2,452,223
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$28,034,714
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$1,883,143
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$2,135,749
Liabilities. Value of operating payables at end of year2016-12-31$300,114
Liabilities. Value of operating payables at beginning of year2016-12-31$190,787
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$165,285,680
Value of net assets at end of year (total assets less liabilities)2016-12-31$2,005,293,795
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$1,840,008,115
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
Investment advisory and management fees2016-12-31$2,072,550
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$159,948,562
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$236,265,187
Value of interest in pooled separate accounts at end of year2016-12-31$16,467,311
Value of interest in pooled separate accounts at beginning of year2016-12-31$15,851,595
Interest on participant loans2016-12-31$1,174,904
Interest earned on other investments2016-12-31$3,564,758
Value of interest in common/collective trusts at end of year2016-12-31$1,312,464,348
Value of interest in common/collective trusts at beginning of year2016-12-31$1,081,224,951
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$9,211,861
Net investment gain/loss from pooled separate accounts2016-12-31$743
Net investment gain or loss from common/collective trusts2016-12-31$96,817,863
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
Assets. Invements in employer securities at end of year2016-12-31$381,019,126
Assets. Invements in employer securities at beginning of year2016-12-31$360,498,084
Contributions received in cash from employer2016-12-31$22,958,759
Employer contributions (assets) at end of year2016-12-31$1,664,530
Employer contributions (assets) at beginning of year2016-12-31$1,564,768
Income. Dividends from common stock2016-12-31$8,622,030
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$163,176,795
Assets. Corporate common stocks other than exployer securities at end of year2016-12-31$103,131,393
Assets. Corporate common stocks other than exployer securities at beginning of year2016-12-31$112,930,203
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
Aggregate proceeds on sale of assets2016-12-31$157,716,940
Aggregate carrying amount (costs) on sale of assets2016-12-31$134,659,134
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31No
Opinion of an independent qualified public accountant for this plan2016-12-31Unqualified
Accountancy firm name2016-12-31GEORGE JOHNSON & COMPANY
Accountancy firm EIN2016-12-31270475249
2015 : THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$4,431,059
Total unrealized appreciation/depreciation of assets2015-12-31$4,431,059
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$190,787
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$198,541
Total income from all sources (including contributions)2015-12-31$125,292,424
Total loss/gain on sale of assets2015-12-31$18,248,908
Total of all expenses incurred2015-12-31$169,041,894
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$167,426,096
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$104,983,235
Value of total assets at end of year2015-12-31$1,840,198,902
Value of total assets at beginning of year2015-12-31$1,883,956,126
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$1,615,798
Total interest from all sources2015-12-31$5,903,623
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$8,898,766
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$1,418,799
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$150,000,000
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$83,548,404
Participant contributions at end of year2015-12-31$27,276,142
Participant contributions at beginning of year2015-12-31$27,668,219
Participant contributions at end of year2015-12-31$2,452,223
Participant contributions at beginning of year2015-12-31$2,263,805
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$2,135,749
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$1,984,904
Liabilities. Value of operating payables at end of year2015-12-31$190,787
Liabilities. Value of operating payables at beginning of year2015-12-31$198,541
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-43,749,470
Value of net assets at end of year (total assets less liabilities)2015-12-31$1,840,008,115
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$1,883,757,585
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
Investment advisory and management fees2015-12-31$1,615,798
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$236,265,187
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$238,965,868
Value of interest in pooled separate accounts at end of year2015-12-31$15,851,595
Value of interest in pooled separate accounts at beginning of year2015-12-31$16,494,587
Interest on participant loans2015-12-31$1,225,260
Interest earned on other investments2015-12-31$4,678,363
Value of interest in common/collective trusts at end of year2015-12-31$1,081,224,951
Value of interest in common/collective trusts at beginning of year2015-12-31$1,228,957,856
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-8,937,359
Net investment gain/loss from pooled separate accounts2015-12-31$-58,795
Net investment gain or loss from common/collective trusts2015-12-31$-8,177,013
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
Assets. Invements in employer securities at end of year2015-12-31$360,498,084
Assets. Invements in employer securities at beginning of year2015-12-31$366,676,355
Contributions received in cash from employer2015-12-31$21,434,831
Employer contributions (assets) at end of year2015-12-31$1,564,768
Employer contributions (assets) at beginning of year2015-12-31$944,532
Income. Dividends from common stock2015-12-31$7,479,967
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$167,426,096
Assets. Corporate common stocks other than exployer securities at end of year2015-12-31$112,930,203
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Aggregate proceeds on sale of assets2015-12-31$142,505,804
Aggregate carrying amount (costs) on sale of assets2015-12-31$124,256,896
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31No
Opinion of an independent qualified public accountant for this plan2015-12-31Unqualified
Accountancy firm name2015-12-31GEORGE JOHNSON & COMPANY
Accountancy firm EIN2015-12-31270475249
2014 : THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$10,544,709
Total unrealized appreciation/depreciation of assets2014-12-31$10,544,709
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$198,541
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$185,413
Total income from all sources (including contributions)2014-12-31$222,616,996
Total loss/gain on sale of assets2014-12-31$21,558,708
Total of all expenses incurred2014-12-31$154,183,885
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$152,775,112
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$97,929,789
Value of total assets at end of year2014-12-31$1,883,956,126
Value of total assets at beginning of year2014-12-31$1,815,509,887
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$1,408,773
Total interest from all sources2014-12-31$5,097,792
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$9,174,810
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$1,765,459
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$150,000,000
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$77,797,166
Participant contributions at end of year2014-12-31$27,668,219
Participant contributions at beginning of year2014-12-31$26,248,530
Participant contributions at end of year2014-12-31$2,263,805
Participant contributions at beginning of year2014-12-31$2,199,320
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$1,984,904
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$2,038,645
Liabilities. Value of operating payables at end of year2014-12-31$198,541
Liabilities. Value of operating payables at beginning of year2014-12-31$185,413
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$68,433,111
Value of net assets at end of year (total assets less liabilities)2014-12-31$1,883,757,585
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$1,815,324,474
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
Investment advisory and management fees2014-12-31$1,408,773
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$238,965,868
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$226,620,108
Value of interest in pooled separate accounts at end of year2014-12-31$16,494,587
Interest on participant loans2014-12-31$1,251,100
Interest earned on other investments2014-12-31$3,846,692
Value of interest in common/collective trusts at end of year2014-12-31$1,228,957,856
Value of interest in common/collective trusts at beginning of year2014-12-31$1,192,296,048
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$-180,982
Net investment gain or loss from common/collective trusts2014-12-31$78,492,170
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
Assets. Invements in employer securities at end of year2014-12-31$366,676,355
Assets. Invements in employer securities at beginning of year2014-12-31$365,139,550
Contributions received in cash from employer2014-12-31$20,132,623
Employer contributions (assets) at end of year2014-12-31$944,532
Employer contributions (assets) at beginning of year2014-12-31$967,686
Income. Dividends from common stock2014-12-31$7,409,351
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$152,775,112
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Aggregate proceeds on sale of assets2014-12-31$49,083,898
Aggregate carrying amount (costs) on sale of assets2014-12-31$27,525,190
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31No
Opinion of an independent qualified public accountant for this plan2014-12-31Unqualified
Accountancy firm name2014-12-31GEORGE JOHNSON & COMPANY
Accountancy firm EIN2014-12-31270475249
2013 : THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$56,757,304
Total unrealized appreciation/depreciation of assets2013-12-31$56,757,304
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$185,413
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$255,571
Total income from all sources (including contributions)2013-12-31$379,187,932
Total loss/gain on sale of assets2013-12-31$17,092,172
Total of all expenses incurred2013-12-31$146,414,882
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$144,886,590
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$92,084,277
Value of total assets at end of year2013-12-31$1,815,509,887
Value of total assets at beginning of year2013-12-31$1,582,806,995
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$1,528,292
Total interest from all sources2013-12-31$3,695,525
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$9,209,674
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$1,484,409
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$150,000,000
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$72,747,375
Participant contributions at end of year2013-12-31$26,248,530
Participant contributions at beginning of year2013-12-31$23,800,047
Participant contributions at end of year2013-12-31$2,199,320
Participant contributions at beginning of year2013-12-31$2,034,486
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$2,038,645
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$258,735
Liabilities. Value of operating payables at end of year2013-12-31$185,413
Liabilities. Value of operating payables at beginning of year2013-12-31$255,571
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$232,773,050
Value of net assets at end of year (total assets less liabilities)2013-12-31$1,815,324,474
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$1,582,551,424
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
Investment advisory and management fees2013-12-31$1,528,292
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$226,620,108
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$369,846,736
Interest on participant loans2013-12-31$1,166,153
Interest earned on other investments2013-12-31$2,529,372
Value of interest in common/collective trusts at end of year2013-12-31$1,192,296,048
Value of interest in common/collective trusts at beginning of year2013-12-31$856,964,688
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$34,696,831
Net investment gain or loss from common/collective trusts2013-12-31$165,652,149
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
Assets. Invements in employer securities at end of year2013-12-31$365,139,550
Assets. Invements in employer securities at beginning of year2013-12-31$329,154,033
Contributions received in cash from employer2013-12-31$19,336,902
Employer contributions (assets) at end of year2013-12-31$967,686
Employer contributions (assets) at beginning of year2013-12-31$748,270
Income. Dividends from common stock2013-12-31$7,725,265
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$144,886,590
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Aggregate proceeds on sale of assets2013-12-31$41,101,134
Aggregate carrying amount (costs) on sale of assets2013-12-31$24,008,962
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31GEORGE JOHNSON & COMPANY
Accountancy firm EIN2013-12-31270475249
2012 : THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$63,662,035
Total unrealized appreciation/depreciation of assets2012-12-31$63,662,035
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$255,571
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$119,482
Total income from all sources (including contributions)2012-12-31$303,654,851
Total loss/gain on sale of assets2012-12-31$10,016,423
Total of all expenses incurred2012-12-31$124,014,857
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$122,445,778
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$87,754,552
Value of total assets at end of year2012-12-31$1,582,806,995
Value of total assets at beginning of year2012-12-31$1,403,030,913
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$1,569,079
Total interest from all sources2012-12-31$5,032,675
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$12,404,940
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$4,206,470
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$150,000,000
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$69,161,721
Participant contributions at end of year2012-12-31$23,800,047
Participant contributions at beginning of year2012-12-31$23,489,278
Participant contributions at end of year2012-12-31$2,034,486
Participant contributions at beginning of year2012-12-31$1,962,386
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$258,735
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$2,069,435
Liabilities. Value of operating payables at end of year2012-12-31$255,571
Liabilities. Value of operating payables at beginning of year2012-12-31$119,482
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$179,639,994
Value of net assets at end of year (total assets less liabilities)2012-12-31$1,582,551,424
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$1,402,911,431
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
Investment advisory and management fees2012-12-31$1,569,079
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$369,846,736
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$318,176,911
Interest on participant loans2012-12-31$1,127,273
Interest earned on other investments2012-12-31$3,905,402
Value of interest in common/collective trusts at end of year2012-12-31$856,964,688
Value of interest in common/collective trusts at beginning of year2012-12-31$756,383,459
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$33,879,014
Net investment gain or loss from common/collective trusts2012-12-31$90,905,212
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
Assets. Invements in employer securities at end of year2012-12-31$329,154,033
Assets. Invements in employer securities at beginning of year2012-12-31$290,596,752
Contributions received in cash from employer2012-12-31$18,592,831
Employer contributions (assets) at end of year2012-12-31$748,270
Employer contributions (assets) at beginning of year2012-12-31$10,352,692
Income. Dividends from common stock2012-12-31$8,198,470
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$122,445,778
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Aggregate proceeds on sale of assets2012-12-31$45,553,490
Aggregate carrying amount (costs) on sale of assets2012-12-31$35,537,067
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31GEORGE JOHNSON & COMPANY
Accountancy firm EIN2012-12-31270475249
2011 : THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$-125,360,863
Total unrealized appreciation/depreciation of assets2011-12-31$-125,360,863
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$119,482
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$123,944
Total income from all sources (including contributions)2011-12-31$-16,210,371
Total loss/gain on sale of assets2011-12-31$7,882,052
Total of all expenses incurred2011-12-31$98,232,344
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$96,701,519
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$94,400,979
Value of total assets at end of year2011-12-31$1,403,030,913
Value of total assets at beginning of year2011-12-31$1,517,478,090
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$1,530,825
Total interest from all sources2011-12-31$5,386,062
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$12,331,916
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$3,981,589
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$150,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
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$66,878,431
Participant contributions at end of year2011-12-31$23,489,278
Participant contributions at beginning of year2011-12-31$23,548,950
Participant contributions at end of year2011-12-31$1,962,386
Participant contributions at beginning of year2011-12-31$1,900,240
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$2,069,435
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$2,175,006
Liabilities. Value of operating payables at end of year2011-12-31$119,482
Liabilities. Value of operating payables at beginning of year2011-12-31$123,944
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-114,442,715
Value of net assets at end of year (total assets less liabilities)2011-12-31$1,402,911,431
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$1,517,354,146
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
Investment advisory and management fees2011-12-31$1,530,825
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$318,176,911
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$306,922,108
Interest on participant loans2011-12-31$1,229,034
Interest earned on other investments2011-12-31$4,157,028
Value of interest in common/collective trusts at end of year2011-12-31$756,383,459
Value of interest in common/collective trusts at beginning of year2011-12-31$760,159,642
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$24,962
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$24,962
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-11,449,190
Net investment gain or loss from common/collective trusts2011-12-31$598,673
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
Assets. Invements in employer securities at end of year2011-12-31$290,596,752
Assets. Invements in employer securities at beginning of year2011-12-31$422,122,356
Contributions received in cash from employer2011-12-31$27,522,548
Employer contributions (assets) at end of year2011-12-31$10,352,692
Employer contributions (assets) at beginning of year2011-12-31$624,826
Income. Dividends from common stock2011-12-31$8,350,327
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$96,701,519
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
Aggregate proceeds on sale of assets2011-12-31$20,328,991
Aggregate carrying amount (costs) on sale of assets2011-12-31$12,446,939
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31GEORGE JOHNSON & COMPANY
Accountancy firm EIN2011-12-31270475249
2010 : THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$11,843,075
Total unrealized appreciation/depreciation of assets2010-12-31$11,843,075
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$123,944
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$222,799,964
Total loss/gain on sale of assets2010-12-31$10,713,092
Total of all expenses incurred2010-12-31$128,474,054
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$127,111,140
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$82,431,370
Value of total assets at end of year2010-12-31$1,517,478,090
Value of total assets at beginning of year2010-12-31$1,417,237,533
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$1,362,914
Total interest from all sources2010-12-31$5,417,668
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$12,874,778
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$3,903,674
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$150,000,000
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$65,367,068
Participant contributions at end of year2010-12-31$23,548,950
Participant contributions at beginning of year2010-12-31$22,006,102
Participant contributions at end of year2010-12-31$1,900,240
Participant contributions at beginning of year2010-12-31$1,865,645
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$2,175,006
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$2,333,947
Liabilities. Value of operating payables at end of year2010-12-31$123,944
Liabilities. Value of operating payables at beginning of year2010-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$94,325,910
Value of net assets at end of year (total assets less liabilities)2010-12-31$1,517,354,146
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$1,417,237,533
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
Investment advisory and management fees2010-12-31$1,362,914
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$306,922,108
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$526,517,843
Interest on participant loans2010-12-31$1,308,461
Interest earned on other investments2010-12-31$4,109,207
Value of interest in common/collective trusts at end of year2010-12-31$760,159,642
Value of interest in common/collective trusts at beginning of year2010-12-31$425,614,644
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$24,962
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$3,195,802
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$3,195,802
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$41,476,403
Net investment gain or loss from common/collective trusts2010-12-31$58,043,578
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
Assets. Invements in employer securities at end of year2010-12-31$422,122,356
Assets. Invements in employer securities at beginning of year2010-12-31$434,174,820
Contributions received in cash from employer2010-12-31$17,064,302
Employer contributions (assets) at end of year2010-12-31$624,826
Employer contributions (assets) at beginning of year2010-12-31$1,528,730
Income. Dividends from common stock2010-12-31$8,971,104
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$127,111,140
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
Aggregate proceeds on sale of assets2010-12-31$23,712,916
Aggregate carrying amount (costs) on sale of assets2010-12-31$12,999,824
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31WASHINGTON, PITTMAN & MCKEEVER, LLC
Accountancy firm EIN2010-12-31364289747
2009 : THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE 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 THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN

2022: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE 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 filingNo
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 - TrustYes
2020: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
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 - TrustYes
2019: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE 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 - TrustYes
2018: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE 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 – Section 412(e)(3) insurance ContractsYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE 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 – Section 412(e)(3) insurance ContractsYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE 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 – Section 412(e)(3) insurance ContractsYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedYes
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – Section 412(e)(3) insurance ContractsYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedYes
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – Section 412(e)(3) insurance ContractsYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE 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 – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE 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 – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedYes
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 – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2010: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedYes
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement - TrustYes
2009: THE NORTHERN TRUST COMPANY THRIFT-INCENTIVE PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedYes
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 – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number063392
Policy instance 3
Insurance contract or identification number063392
Number of Individuals Covered2238
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
METLIFE, INC (National Association of Insurance Commissioners NAIC id number: 97136 )
Policy contract number38027
Policy instance 1
Insurance contract or identification number38027
Number of Individuals Covered2238
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract numberINV_NTR_IP_0618
Policy instance 2
Insurance contract or identification numberINV_NTR_IP_0618
Number of Individuals Covered2238
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract numberMDA01273TR
Policy instance 4
Insurance contract or identification numberMDA01273TR
Number of Individuals Covered2238
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432A
Policy instance 5
Insurance contract or identification number060432A
Number of Individuals Covered2238
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432B
Policy instance 6
Insurance contract or identification number060432B
Number of Individuals Covered2238
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432D
Policy instance 7
Insurance contract or identification number060432D
Number of Individuals Covered2238
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432
Policy instance 8
Insurance contract or identification number060432
Number of Individuals Covered2238
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
RGA REINSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 93572 )
Policy contract numberRGA00112
Policy instance 9
Insurance contract or identification numberRGA00112
Number of Individuals Covered2238
Insurance policy start date2022-09-24
Insurance policy end date2022-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number063392
Policy instance 3
Insurance contract or identification number063392
Number of Individuals Covered2133
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
METLIFE, INC (National Association of Insurance Commissioners NAIC id number: 97136 )
Policy contract number38027
Policy instance 1
Insurance contract or identification number38027
Number of Individuals Covered2133
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract numberINV_NTR_IP_0618
Policy instance 2
Insurance contract or identification numberINV_NTR_IP_0618
Number of Individuals Covered2133
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract numberMDA01273TR
Policy instance 4
Insurance contract or identification numberMDA01273TR
Number of Individuals Covered2133
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432A
Policy instance 5
Insurance contract or identification number060432A
Number of Individuals Covered2133
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432B
Policy instance 6
Insurance contract or identification number060432B
Number of Individuals Covered2133
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432D
Policy instance 7
Insurance contract or identification number060432D
Number of Individuals Covered2133
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432
Policy instance 8
Insurance contract or identification number060432
Number of Individuals Covered2133
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
RGA REINSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 93572 )
Policy contract numberRGA00112
Policy instance 9
Insurance contract or identification numberRGA00112
Number of Individuals Covered2133
Insurance policy start date2021-09-24
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
METLIFE, INC (National Association of Insurance Commissioners NAIC id number: 97136 )
Policy contract number38027
Policy instance 1
Insurance contract or identification number38027
Number of Individuals Covered2301
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract numberINV_NTR_IP_0618
Policy instance 2
Insurance contract or identification numberINV_NTR_IP_0618
Number of Individuals Covered2301
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number063392
Policy instance 3
Insurance contract or identification number063392
Number of Individuals Covered2301
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract numberMDA01273TR
Policy instance 4
Insurance contract or identification numberMDA01273TR
Number of Individuals Covered2301
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432A
Policy instance 5
Insurance contract or identification number060432A
Number of Individuals Covered2301
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432B
Policy instance 6
Insurance contract or identification number060432B
Number of Individuals Covered2301
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432D
Policy instance 7
Insurance contract or identification number060432D
Number of Individuals Covered2301
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432
Policy instance 8
Insurance contract or identification number060432
Number of Individuals Covered2301
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
MONUMENTAL LIFE (National Association of Insurance Commissioners NAIC id number: 66281 )
Policy contract numberMDA01273TR
Policy instance 4
Insurance contract or identification numberMDA01273TR
Number of Individuals Covered2358
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432
Policy instance 8
Insurance contract or identification number060432
Number of Individuals Covered2358
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432D
Policy instance 7
Insurance contract or identification number060432D
Number of Individuals Covered2358
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
METLIFE, INC (National Association of Insurance Commissioners NAIC id number: 97136 )
Policy contract number38027
Policy instance 1
Insurance contract or identification number38027
Number of Individuals Covered2358
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract numberINV_NTR_IP_0618
Policy instance 2
Insurance contract or identification numberINV_NTR_IP_0618
Number of Individuals Covered2358
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number063392
Policy instance 3
Insurance contract or identification number063392
Number of Individuals Covered2358
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432B
Policy instance 6
Insurance contract or identification number060432B
Number of Individuals Covered2358
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432A
Policy instance 5
Insurance contract or identification number060432A
Number of Individuals Covered2358
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
MONUMENTAL LIFE (National Association of Insurance Commissioners NAIC id number: 66281 )
Policy contract numberMDA01273TR
Policy instance 4
Insurance contract or identification numberMDA01273TR
Number of Individuals Covered2448
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432C
Policy instance 10
Insurance contract or identification number060432C
Number of Individuals Covered0
Insurance policy start date2018-01-01
Insurance policy end date2018-06-14
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?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
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number035090
Policy instance 9
Insurance contract or identification number035090
Number of Individuals Covered0
Insurance policy start date2018-01-01
Insurance policy end date2018-06-14
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?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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432
Policy instance 8
Insurance contract or identification number060432
Number of Individuals Covered2448
Insurance policy start date2018-06-14
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
METLIFE, INC (National Association of Insurance Commissioners NAIC id number: 97136 )
Policy contract number38027
Policy instance 1
Insurance contract or identification number38027
Number of Individuals Covered2448
Insurance policy start date2018-10-26
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract numberINV_NTR_IP_0618
Policy instance 2
Insurance contract or identification numberINV_NTR_IP_0618
Number of Individuals Covered2448
Insurance policy start date2018-06-14
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number063392
Policy instance 3
Insurance contract or identification number063392
Number of Individuals Covered2448
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432A
Policy instance 5
Insurance contract or identification number060432A
Number of Individuals Covered2448
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432B
Policy instance 6
Insurance contract or identification number060432B
Number of Individuals Covered2448
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432D
Policy instance 7
Insurance contract or identification number060432D
Number of Individuals Covered2448
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432C
Policy instance 1
Insurance contract or identification number060432C
Number of Individuals Covered2548
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number063392
Policy instance 2
Insurance contract or identification number063392
Number of Individuals Covered2548
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432D
Policy instance 4
Insurance contract or identification number060432D
Number of Individuals Covered2548
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432A
Policy instance 5
Insurance contract or identification number060432A
Number of Individuals Covered2548
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number035090
Policy instance 3
Insurance contract or identification number035090
Number of Individuals Covered2548
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
MONUMENTAL LIFE (National Association of Insurance Commissioners NAIC id number: 66281 )
Policy contract numberMDA01273TR
Policy instance 7
Insurance contract or identification numberMDA01273TR
Number of Individuals Covered2548
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432B
Policy instance 6
Insurance contract or identification number060432B
Number of Individuals Covered2548
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432B
Policy instance 1
Insurance contract or identification number060432B
Number of Individuals Covered2914
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?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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432D
Policy instance 3
Insurance contract or identification number060432D
Number of Individuals Covered2914
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?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
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number035090
Policy instance 4
Insurance contract or identification number035090
Number of Individuals Covered2914
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?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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432C
Policy instance 5
Insurance contract or identification number060432C
Number of Individuals Covered2914
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?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
MONUMENTAL LIFE (National Association of Insurance Commissioners NAIC id number: 66281 )
Policy contract numberMDA01273TR
Policy instance 2
Insurance contract or identification numberMDA01273TR
Number of Individuals Covered2914
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?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
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number063392
Policy instance 7
Insurance contract or identification number063392
Number of Individuals Covered2914
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?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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432A
Policy instance 6
Insurance contract or identification number060432A
Number of Individuals Covered2914
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?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
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number035090
Policy instance 1
Insurance contract or identification number035090
Number of Individuals Covered2379
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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432D
Policy instance 7
Insurance contract or identification number060432D
Number of Individuals Covered2379
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?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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432B
Policy instance 5
Insurance contract or identification number060432B
Number of Individuals Covered2379
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?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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432A
Policy instance 4
Insurance contract or identification number060432A
Number of Individuals Covered2379
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?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
MONUMENTAL LIFE (National Association of Insurance Commissioners NAIC id number: 66281 )
Policy contract numberMDA01273TR
Policy instance 3
Insurance contract or identification numberMDA01273TR
Number of Individuals Covered2379
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?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
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number063392
Policy instance 2
Insurance contract or identification number063392
Number of Individuals Covered2379
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?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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number060432C
Policy instance 6
Insurance contract or identification number060432C
Number of Individuals Covered2379
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?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

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