401k Plan data: JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST plan

JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST 401k Plan overview

Plan Name	JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST
Plan identification number	002

JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

JAMES UNLAND & CO., INC. has sponsored the creation of one or more 401k plans.

Company Name: JAMES UNLAND & CO., INC.

Employer identification number (EIN): 370923342

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Form 5500 Filing Information

Submission information for form 5500 for 401k plan JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2020-01-01 LAURA MAAS 2020-11-17
002 2019-01-01 LAURA MAAS 2020-11-17
002 2018-01-01 HEIDI HUNTER 2019-06-11
002 2017-01-01 HEIDI HUNTER 2018-06-21
002 2016-01-01 HEIDI HUNTER 2017-07-14
002 2015-01-01 WILLIAM SHOCK 2016-07-06
002 2014-01-01 WILLIAM SHOCK 2015-07-30
002 2013-01-01 WILLIAM SHOCK 2014-09-24
002 2012-01-01 WILLIAM SHOCK, ADMINISTRATOR AFTON BOOTH, PRESIDENT 2013-07-10
002 2012-01-01 WILLIAM SHOCK, ADMINISTRATOR
002 2011-01-01 WILLIAM SHOCK ADMINISTRATOR AFTON BOOTH PRESIDENT 2012-07-30

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2020-01-01	LAURA MAAS	2020-11-17
002	2019-01-01	LAURA MAAS	2020-11-17
002	2018-01-01	HEIDI HUNTER	2019-06-11
002	2017-01-01	HEIDI HUNTER	2018-06-21
002	2016-01-01	HEIDI HUNTER	2017-07-14
002	2015-01-01	WILLIAM SHOCK	2016-07-06
002	2014-01-01	WILLIAM SHOCK	2015-07-30
002	2013-01-01	WILLIAM SHOCK	2014-09-24
002	2012-01-01	WILLIAM SHOCK, ADMINISTRATOR		AFTON BOOTH, PRESIDENT	2013-07-10
002	2012-01-01	WILLIAM SHOCK, ADMINISTRATOR
002	2011-01-01	WILLIAM SHOCK ADMINISTRATOR		AFTON BOOTH PRESIDENT	2012-07-30

Plan Statistics for JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST

401k plan membership statisitcs for JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST

Measure Date Value
2012: JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 26
Number of other retired or separated participants entitled to future benefits 2012-01-01 1
Total of all active and inactive participants 2012-01-01 1
Total participants 2012-01-01 1
Number of participants with account balances 2012-01-01 22
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 21
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 23
Number of retired or separated participants receiving benefits 2011-01-01 3
Total of all active and inactive participants 2011-01-01 26
Total participants 2011-01-01 26
Number of participants with account balances 2011-01-01 26

Measure	Date	Value
2012: JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	26
Number of other retired or separated participants entitled to future benefits	2012-01-01	1
Total of all active and inactive participants	2012-01-01	1
Total participants	2012-01-01	1
Number of participants with account balances	2012-01-01	22
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	21
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	23
Number of retired or separated participants receiving benefits	2011-01-01	3
Total of all active and inactive participants	2011-01-01	26
Total participants	2011-01-01	26
Number of participants with account balances	2011-01-01	26

Financial Data on JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST

Measure	Date	Value
2012 : JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST 2012 401k financial data
Total income from all sources	2012-12-31	$189,044
Expenses. Total of all expenses incurred	2012-12-31	$145,767
Benefits paid (including direct rollovers)	2012-12-31	$137,673
Total plan assets at end of year	2012-12-31	$1,277,403
Total plan assets at beginning of year	2012-12-31	$1,234,126
Total contributions received or receivable from participants	2012-12-31	$47,542
Other income received	2012-12-31	$141,502
Net income (gross income less expenses)	2012-12-31	$43,277
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,277,403
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,234,126
Assets. Value of participant loans	2012-12-31	$19,327
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$8,094
2011 : JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST 2011 401k financial data
Transfers to/from the plan	2011-12-31	$16,699
Total income from all sources	2011-12-31	$22,090
Expenses. Total of all expenses incurred	2011-12-31	$91,494
Benefits paid (including direct rollovers)	2011-12-31	$83,490
Total plan assets at end of year	2011-12-31	$1,234,126
Total plan assets at beginning of year	2011-12-31	$1,286,831
Total contributions received or receivable from participants	2011-12-31	$50,699
Expenses. Other expenses not covered elsewhere	2011-12-31	$8,004
Contributions received from other sources (not participants or employers)	2011-12-31	$1,466
Other income received	2011-12-31	$-30,075
Net income (gross income less expenses)	2011-12-31	$-69,404
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,234,126
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,286,831
Assets. Value of participant loans	2011-12-31	$22,028
2010 : JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST 2010 401k financial data
Total income from all sources	2010-12-31	$361,161
Expenses. Total of all expenses incurred	2010-12-31	$100,023
Benefits paid (including direct rollovers)	2010-12-31	$92,796
Total plan assets at end of year	2010-12-31	$1,286,831
Total plan assets at beginning of year	2010-12-31	$1,025,693
Total contributions received or receivable from participants	2010-12-31	$52,716
Expenses. Other expenses not covered elsewhere	2010-12-31	$7,227
Contributions received from other sources (not participants or employers)	2010-12-31	$166,302
Other income received	2010-12-31	$142,143
Net income (gross income less expenses)	2010-12-31	$261,138
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,286,831
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,025,693
Assets. Value of participant loans	2010-12-31	$24,961

Form 5500 Responses for JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST

2012: JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2011: JAMES UNLAND & CO., INC. 401(K) SALARY REDUCTION PLAN & TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

385509-01

Policy instance

Insurance contract or identification number	385509-01
Number of Individuals Covered	12
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Are there contracts with allocated funds for types other than group deferred annuity or individual?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Other information about contract	GROUP ANNUITY

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

385509-01

Policy instance

Insurance contract or identification number	385509-01
Number of Individuals Covered	13
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Are there contracts with allocated funds for types other than group deferred annuity or individual?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Other information about contract	GROUP ANNUITY

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

385509-01

Policy instance

Insurance contract or identification number	385509-01
Number of Individuals Covered	12
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Are there contracts with allocated funds for types other than group deferred annuity or individual?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Other information about contract	GROUP ANNUITY

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Company Name:	JAMES UNLAND & CO., INC.
Employer identification number (EIN):	370923342
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages