401k Plan data: HELM POINT SOLUTIONS 401(K) PLAN plan

HELM POINT SOLUTIONS 401(K) PLAN 401k Plan overview

Plan Name	HELM POINT SOLUTIONS 401(K) PLAN
Plan identification number	001

HELM POINT SOLUTIONS 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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

HELM POINT SOLUTIONS, INC. has sponsored the creation of one or more 401k plans.

Company Name: HELM POINT SOLUTIONS, INC.

Employer identification number (EIN): 371546436

NAIC Classification: 541600

Form 5500 Filing Information

Submission information for form 5500 for 401k plan HELM POINT SOLUTIONS 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 KATHRYN SHAMLEFFER 2023-10-05
001 2021-01-01 KATHRYN SHAMLEFFER 2022-08-31
001 2020-01-01 KATHRYN SHAMLEFFER 2021-10-12
001 2019-01-01 KATHRYN SHAMLEFFER 2020-10-13
001 2018-01-01 KATHRYN SHAMLEFFER 2019-10-30
001 2018-01-01 KATHRYN SHAMLEFFER 2019-10-15
001 2017-01-01

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01	KATHRYN SHAMLEFFER	2023-10-05
001	2021-01-01	KATHRYN SHAMLEFFER	2022-08-31
001	2020-01-01	KATHRYN SHAMLEFFER	2021-10-12
001	2019-01-01	KATHRYN SHAMLEFFER	2020-10-13
001	2018-01-01	KATHRYN SHAMLEFFER	2019-10-30
001	2018-01-01	KATHRYN SHAMLEFFER	2019-10-15
001	2017-01-01

Plan Statistics for HELM POINT SOLUTIONS 401(K) PLAN

401k plan membership statisitcs for HELM POINT SOLUTIONS 401(K) PLAN

Measure Date Value
2022: HELM POINT SOLUTIONS 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 106
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 24
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 58
Total of all active and inactive participants 2022-01-01 82
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 82
Number of participants with account balances 2022-01-01 79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 1
2021: HELM POINT SOLUTIONS 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 109
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 36
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 67
Total of all active and inactive participants 2021-01-01 103
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 103
Number of participants with account balances 2021-01-01 103
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 4
2020: HELM POINT SOLUTIONS 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 124
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 62
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 47
Total of all active and inactive participants 2020-01-01 109
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 109
Number of participants with account balances 2020-01-01 109
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 3
2019: HELM POINT SOLUTIONS 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 151
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 65
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 60
Total of all active and inactive participants 2019-01-01 125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 125
Number of participants with account balances 2019-01-01 125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 7
2018: HELM POINT SOLUTIONS 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 173
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 77
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 74
Total of all active and inactive participants 2018-01-01 151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 151
Number of participants with account balances 2018-01-01 151
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 18
2017: HELM POINT SOLUTIONS 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 180
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 109
Number of retired or separated participants receiving benefits 2017-01-01 2
Number of other retired or separated participants entitled to future benefits 2017-01-01 59
Total of all active and inactive participants 2017-01-01 170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 170
Number of participants with account balances 2017-01-01 166
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 3

Measure	Date	Value
2022: HELM POINT SOLUTIONS 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	106
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	24
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	58
Total of all active and inactive participants	2022-01-01	82
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	82
Number of participants with account balances	2022-01-01	79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	1
2021: HELM POINT SOLUTIONS 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	109
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	36
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	67
Total of all active and inactive participants	2021-01-01	103
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	103
Number of participants with account balances	2021-01-01	103
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	4
2020: HELM POINT SOLUTIONS 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	124
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	62
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	47
Total of all active and inactive participants	2020-01-01	109
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	109
Number of participants with account balances	2020-01-01	109
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	3
2019: HELM POINT SOLUTIONS 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	151
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	65
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	60
Total of all active and inactive participants	2019-01-01	125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	125
Number of participants with account balances	2019-01-01	125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	7
2018: HELM POINT SOLUTIONS 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	173
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	77
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	74
Total of all active and inactive participants	2018-01-01	151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	151
Number of participants with account balances	2018-01-01	151
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	18
2017: HELM POINT SOLUTIONS 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	180
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	109
Number of retired or separated participants receiving benefits	2017-01-01	2
Number of other retired or separated participants entitled to future benefits	2017-01-01	59
Total of all active and inactive participants	2017-01-01	170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	170
Number of participants with account balances	2017-01-01	166
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	3

Financial Data on HELM POINT SOLUTIONS 401(K) PLAN

Measure	Date	Value
2022 : HELM POINT SOLUTIONS 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-579,717
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$677,208
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$604,481
Expenses. Certain deemed distributions of participant loans	2022-12-31	$39,655
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$332,022
Value of total assets at end of year	2022-12-31	$4,473,364
Value of total assets at beginning of year	2022-12-31	$5,730,289
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$33,072
Total interest from all sources	2022-12-31	$931
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$177,132
Participant contributions at end of year	2022-12-31	$9,576
Participant contributions at beginning of year	2022-12-31	$53,578
Participant contributions at end of year	2022-12-31	$0
Participant contributions at beginning of year	2022-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$57,190
Total non interest bearing cash at end of year	2022-12-31	$4,739
Total non interest bearing cash at beginning of year	2022-12-31	$126
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-1,256,925
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$4,473,364
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$5,730,289
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$4,458,858
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$5,676,585
Value of interest in pooled separate accounts at end of year	2022-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$0
Interest on participant loans	2022-12-31	$931
Value of interest in common/collective trusts at end of year	2022-12-31	$0
Value of interest in common/collective trusts at beginning of year	2022-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$0
Net investment gain/loss from pooled separate accounts	2022-12-31	$-912,670
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$97,700
Employer contributions (assets) at end of year	2022-12-31	$191
Employer contributions (assets) at beginning of year	2022-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$604,481
Contract administrator fees	2022-12-31	$33,072
Liabilities. Value of benefit claims payable at end of year	2022-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2022-12-31	$0
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	SMITH ELLIOTT KEARNS & CO
Accountancy firm EIN	2022-12-31	520783935
2021 : HELM POINT SOLUTIONS 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$1,191,872
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$607,646
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$567,274
Expenses. Certain deemed distributions of participant loans	2021-12-31	$4,902
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$430,684
Value of total assets at end of year	2021-12-31	$5,730,289
Value of total assets at beginning of year	2021-12-31	$5,146,063
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$35,470
Total interest from all sources	2021-12-31	$2,239
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$248,862
Participant contributions at end of year	2021-12-31	$53,578
Participant contributions at beginning of year	2021-12-31	$35,425
Participant contributions at end of year	2021-12-31	$0
Participant contributions at beginning of year	2021-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$15,771
Total non interest bearing cash at end of year	2021-12-31	$126
Total non interest bearing cash at beginning of year	2021-12-31	$5,014
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$584,226
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$5,730,289
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$5,146,063
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$5,676,585
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$5,086,888
Value of interest in pooled separate accounts at end of year	2021-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$0
Interest on participant loans	2021-12-31	$2,239
Value of interest in common/collective trusts at end of year	2021-12-31	$0
Value of interest in common/collective trusts at beginning of year	2021-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$0
Net investment gain/loss from pooled separate accounts	2021-12-31	$758,949
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$166,051
Employer contributions (assets) at end of year	2021-12-31	$0
Employer contributions (assets) at beginning of year	2021-12-31	$18,736
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$567,274
Contract administrator fees	2021-12-31	$35,470
Liabilities. Value of benefit claims payable at end of year	2021-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2021-12-31	$0
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	SMITH ELLIOTT KEARNS & CO
Accountancy firm EIN	2021-12-31	520783935
2020 : HELM POINT SOLUTIONS 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$949,441
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$419,572
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$384,618
Expenses. Certain deemed distributions of participant loans	2020-12-31	$1,006
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$437,593
Value of total assets at end of year	2020-12-31	$5,146,063
Value of total assets at beginning of year	2020-12-31	$4,616,194
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$33,948
Total interest from all sources	2020-12-31	$2,670
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$217,189
Participant contributions at end of year	2020-12-31	$35,425
Participant contributions at beginning of year	2020-12-31	$54,539
Participant contributions at end of year	2020-12-31	$0
Participant contributions at beginning of year	2020-12-31	$333
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$36,566
Total non interest bearing cash at end of year	2020-12-31	$5,014
Total non interest bearing cash at beginning of year	2020-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$529,869
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$5,146,063
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$4,616,194
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$5,086,888
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$290,869
Value of interest in pooled separate accounts at end of year	2020-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$349,392
Interest on participant loans	2020-12-31	$2,670
Value of interest in common/collective trusts at end of year	2020-12-31	$0
Value of interest in common/collective trusts at beginning of year	2020-12-31	$3,902,013
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$121
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$-7,073
Net investment gain/loss from pooled separate accounts	2020-12-31	$329,941
Net investment gain or loss from common/collective trusts	2020-12-31	$186,310
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$183,838
Employer contributions (assets) at end of year	2020-12-31	$18,736
Employer contributions (assets) at beginning of year	2020-12-31	$18,927
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$384,618
Contract administrator fees	2020-12-31	$33,948
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2020-12-31	Yes
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	SMITH ELLIOTT KEARNS & CO
Accountancy firm EIN	2020-12-31	520783935
2019 : HELM POINT SOLUTIONS 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$1,810,283
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$969,452
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$922,904
Expenses. Certain deemed distributions of participant loans	2019-12-31	$3,464
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$959,266
Value of total assets at end of year	2019-12-31	$4,616,194
Value of total assets at beginning of year	2019-12-31	$3,775,363
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$43,084
Total interest from all sources	2019-12-31	$2,566
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$5,137
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$5,137
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$221,142
Participant contributions at end of year	2019-12-31	$54,539
Participant contributions at beginning of year	2019-12-31	$67,975
Participant contributions at end of year	2019-12-31	$333
Participant contributions at beginning of year	2019-12-31	$746
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$554,285
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$840,831
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$4,616,194
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$3,775,363
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$290,869
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$345,772
Value of interest in pooled separate accounts at end of year	2019-12-31	$349,392
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$273,966
Income. Interest from loans (other than to participants)	2019-12-31	$2,566
Value of interest in common/collective trusts at end of year	2019-12-31	$3,902,013
Value of interest in common/collective trusts at beginning of year	2019-12-31	$3,013,652
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$121
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$48
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$77,018
Net investment gain/loss from pooled separate accounts	2019-12-31	$82,937
Net investment gain or loss from common/collective trusts	2019-12-31	$683,359
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$183,839
Employer contributions (assets) at end of year	2019-12-31	$18,927
Employer contributions (assets) at beginning of year	2019-12-31	$73,204
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$922,904
Contract administrator fees	2019-12-31	$43,084
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	SMITH ELLIOTT KEARNS & CO
Accountancy firm EIN	2019-12-31	520783935
2018 : HELM POINT SOLUTIONS 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$22,733
Total income from all sources (including contributions)	2018-12-31	$350,535
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$442,524
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$395,165
Expenses. Certain deemed distributions of participant loans	2018-12-31	$15,848
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$636,581
Value of total assets at end of year	2018-12-31	$3,778,571
Value of total assets at beginning of year	2018-12-31	$3,893,293
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$31,511
Total interest from all sources	2018-12-31	$3,359
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$5,959
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$5,959
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$292,184
Participant contributions at end of year	2018-12-31	$71,183
Participant contributions at beginning of year	2018-12-31	$81,710
Participant contributions at end of year	2018-12-31	$746
Participant contributions at beginning of year	2018-12-31	$15,559
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$22,733
Other income not declared elsewhere	2018-12-31	$4,033
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-91,989
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$3,778,571
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$3,870,560
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$345,772
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$220,574
Value of interest in pooled separate accounts at end of year	2018-12-31	$273,966
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$204,384
Interest on participant loans	2018-12-31	$3,359
Value of interest in common/collective trusts at end of year	2018-12-31	$3,013,652
Value of interest in common/collective trusts at beginning of year	2018-12-31	$3,210,118
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$48
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$776
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-299,397
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$344,397
Employer contributions (assets) at end of year	2018-12-31	$73,204
Employer contributions (assets) at beginning of year	2018-12-31	$160,172
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$395,165
Contract administrator fees	2018-12-31	$31,511
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	SMITH ELLIOTT KEARNS & CO
Accountancy firm EIN	2018-12-31	520783935
2017 : HELM POINT SOLUTIONS 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$22,733
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$933
Total income from all sources (including contributions)	2017-12-31	$1,193,768
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$427,534
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$404,020
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$700,713
Value of total assets at end of year	2017-12-31	$3,893,293
Value of total assets at beginning of year	2017-12-31	$3,105,259
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$23,514
Total interest from all sources	2017-12-31	$3,036
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$2,588
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$2,588
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$278,983
Participant contributions at end of year	2017-12-31	$81,710
Participant contributions at beginning of year	2017-12-31	$38,925
Participant contributions at end of year	2017-12-31	$15,559
Participant contributions at beginning of year	2017-12-31	$12,176
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$6,418
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2017-12-31	$1,040
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$22,733
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-12-31	$933
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$766,234
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$3,870,560
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$3,104,326
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$220,574
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$75,270
Value of interest in pooled separate accounts at end of year	2017-12-31	$204,384
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$129,821
Interest on participant loans	2017-12-31	$3,036
Value of interest in common/collective trusts at end of year	2017-12-31	$3,210,118
Value of interest in common/collective trusts at beginning of year	2017-12-31	$2,529,038
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$776
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$165,570
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$27,101
Net investment gain/loss from pooled separate accounts	2017-12-31	$32,726
Net investment gain or loss from common/collective trusts	2017-12-31	$427,604
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$415,312
Employer contributions (assets) at end of year	2017-12-31	$160,172
Employer contributions (assets) at beginning of year	2017-12-31	$154,459
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$402,980
Contract administrator fees	2017-12-31	$23,514
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	SMITH ELLIOTT KEARNS & CO
Accountancy firm EIN	2017-12-31	520783935
2010 : HELM POINT SOLUTIONS 401(K) PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total income from all sources	2010-12-31	$2,703
Expenses. Total of all expenses incurred	2010-12-31	$225
Benefits paid (including direct rollovers)	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$38,988
Total plan assets at beginning of year	2010-12-31	$36,510
Value of fidelity bond covering the plan	2010-12-31	$10,000
Total contributions received or receivable from participants	2010-12-31	$0
Expenses. Other expenses not covered elsewhere	2010-12-31	$225
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$2,703
Net income (gross income less expenses)	2010-12-31	$2,478
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$38,988
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$36,510
Assets. Value of participant loans	2010-12-31	$0
Total contributions received or receivable from employer(s)	2010-12-31	$0
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0

Form 5500 Responses for HELM POINT SOLUTIONS 401(K) PLAN

2022: HELM POINT SOLUTIONS 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: HELM POINT SOLUTIONS 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: HELM POINT SOLUTIONS 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: HELM POINT SOLUTIONS 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: HELM POINT SOLUTIONS 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	Yes
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: HELM POINT SOLUTIONS 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

146101

Policy instance

Insurance contract or identification number	146101
Number of Individuals Covered	85
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $4,301
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $4,301
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker organization code?	3

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

146101

Policy instance

Insurance contract or identification number	146101
Number of Individuals Covered	108
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $8,799
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $8,799
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

462384

Policy instance

Insurance contract or identification number	462384
Number of Individuals Covered	0
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $56
Total amount of fees paid to insurance company	USD $7
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $37
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	N/A
Insurance broker organization code?	3

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

146101

Policy instance

Insurance contract or identification number	146101
Number of Individuals Covered	106
Insurance policy start date	2020-11-04
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $9,779
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $9,779
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	125
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	N/A
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

462384

Policy instance

Insurance contract or identification number	462384
Number of Individuals Covered	125
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $1,305
Total amount of fees paid to insurance company	USD $163
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $870
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	N/A
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

462384

Policy instance

Insurance contract or identification number	462384
Number of Individuals Covered	133
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $1,114
Total amount of fees paid to insurance company	USD $139
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $704
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	N/A
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	133
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $5
Total amount of fees paid to insurance company	USD $1
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $3
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	N/A
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

462384

Policy instance

Insurance contract or identification number	462384
Number of Individuals Covered	171
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $683
Total amount of fees paid to insurance company	USD $85
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $683
Insurance broker organization code?	3
Amount paid for insurance broker fees	85
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker name	COASTAL PENSION SERVICES INC

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	171
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $334
Total amount of fees paid to insurance company	USD $42
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $334
Insurance broker organization code?	3
Amount paid for insurance broker fees	42
Additional information about fees paid to insurance broker	REFERRAL/SERVICE FEE
Insurance broker name	COASTAL PENSION SERVICES, INC.

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Company Name:	HELM POINT SOLUTIONS, INC.
Employer identification number (EIN):	371546436
NAIC Classification:	541600