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STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NameSTANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN
Plan identification number 002

STANDARD COMPANIES, INC. 401(K) PROFIT SHARING 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.
  • Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.
  • 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

STANDARD COMPANIES, INC. has sponsored the creation of one or more 401k plans.

Company Name:STANDARD COMPANIES, INC.
Employer identification number (EIN):382740147
NAIC Classification:444190
NAIC Description:Other Building Material Dealers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022015-10-01ROCHELLE HERRERA2017-02-22
0022014-10-01ROCHELLE HERRERA
0022014-01-01RONALD WEBB
0022014-01-01RONALD WEBB
0022013-01-01RONALD WEBB
0022012-12-01MARK STOWE
0022011-12-01MARK STOWE
0022009-12-01MARK STOWE
0022008-12-01

Plan Statistics for STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2014: STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-10-01169
Total number of active participants reported on line 7a of the Form 55002014-10-010
Number of retired or separated participants receiving benefits2014-10-012
Number of other retired or separated participants entitled to future benefits2014-10-014
Total of all active and inactive participants2014-10-016
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-10-010
Total participants2014-10-016
Number of participants with account balances2014-10-016
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-10-010
Total participants, beginning-of-year2014-01-01165
Total number of active participants reported on line 7a of the Form 55002014-01-010
Number of retired or separated participants receiving benefits2014-01-018
Number of other retired or separated participants entitled to future benefits2014-01-01161
Total of all active and inactive participants2014-01-01169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01169
Number of participants with account balances2014-01-01169
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01163
Total number of active participants reported on line 7a of the Form 55002013-01-01127
Number of retired or separated participants receiving benefits2013-01-016
Number of other retired or separated participants entitled to future benefits2013-01-0125
Total of all active and inactive participants2013-01-01158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01158
Number of participants with account balances2013-01-01136
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-12-01163
Total number of active participants reported on line 7a of the Form 55002012-12-01124
Number of retired or separated participants receiving benefits2012-12-018
Number of other retired or separated participants entitled to future benefits2012-12-0131
Total of all active and inactive participants2012-12-01163
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-12-010
Total participants2012-12-01163
Number of participants with account balances2012-12-01142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-12-010
2011: STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-12-01169
Total number of active participants reported on line 7a of the Form 55002011-12-01122
Number of retired or separated participants receiving benefits2011-12-017
Number of other retired or separated participants entitled to future benefits2011-12-0131
Total of all active and inactive participants2011-12-01160
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-12-010
Total participants2011-12-01160
Number of participants with account balances2011-12-01142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-12-012
2009: STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-12-01190
Total number of active participants reported on line 7a of the Form 55002009-12-01120
Number of retired or separated participants receiving benefits2009-12-0112
Number of other retired or separated participants entitled to future benefits2009-12-0140
Total of all active and inactive participants2009-12-01172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-12-010
Total participants2009-12-01172
Number of participants with account balances2009-12-01164
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-12-016

Financial Data on STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2015 : STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-09-30$-169
Total unrealized appreciation/depreciation of assets2015-09-30$-169
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-09-30$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-09-30$0
Total income from all sources (including contributions)2015-09-30$258,549
Total loss/gain on sale of assets2015-09-30$-1,043
Total of all expenses incurred2015-09-30$10,051,011
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-09-30$9,995,435
Value of total corrective distributions2015-09-30$50,001
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-09-30$50,088
Value of total assets at end of year2015-09-30$5,899
Value of total assets at beginning of year2015-09-30$9,798,361
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-09-30$5,575
Total interest from all sources2015-09-30$58,902
Total dividends received (eg from common stock, registered investment company shares)2015-09-30$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-09-30Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2015-09-30$0
Was this plan covered by a fidelity bond2015-09-30Yes
Value of fidelity bond cover2015-09-30$500,000
If this is an individual account plan, was there a blackout period2015-09-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-09-30$0
Were there any nonexempt tranactions with any party-in-interest2015-09-30No
Contributions received from participants2015-09-30$50,088
Participant contributions at end of year2015-09-30$0
Participant contributions at beginning of year2015-09-30$13,012
Participant contributions at end of year2015-09-30$0
Participant contributions at beginning of year2015-09-30$28,899
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-09-30$1,647
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-09-30No
Value of net income/loss2015-09-30$-9,792,462
Value of net assets at end of year (total assets less liabilities)2015-09-30$5,899
Value of net assets at beginning of year (total assets less liabilities)2015-09-30$9,798,361
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2015-09-30No
Were any leases to which the plan was party in default or uncollectible2015-09-30No
Value of interest in pooled separate accounts at end of year2015-09-30$4,956
Value of interest in pooled separate accounts at beginning of year2015-09-30$5,235,730
Interest on participant loans2015-09-30$1,236
Interest earned on other investments2015-09-30$57,666
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-09-30$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-09-30$4,317,916
Net investment gain/loss from pooled separate accounts2015-09-30$150,771
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-09-30No
Was there a failure to transmit to the plan any participant contributions2015-09-30No
Has the plan failed to provide any benefit when due under the plan2015-09-30No
Contributions received in cash from employer2015-09-30$0
Employer contributions (assets) at end of year2015-09-30$0
Employer contributions (assets) at beginning of year2015-09-30$200,045
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-09-30$9,995,435
Contract administrator fees2015-09-30$5,575
Assets. Corporate common stocks other than exployer securities at end of year2015-09-30$943
Assets. Corporate common stocks other than exployer securities at beginning of year2015-09-30$1,112
Did the plan have assets held for investment2015-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-09-30No
Aggregate proceeds on sale of assets2015-09-30$-1,043
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-09-30Yes
Opinion of an independent qualified public accountant for this plan2015-09-30Disclaimer
Accountancy firm name2015-09-30THE AUDIT GROUP, PLLC
Accountancy firm EIN2015-09-30461340244
2014 : STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-09-30$86
Total unrealized appreciation/depreciation of assets2014-09-30$86
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-09-30$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-09-30$0
Total income from all sources (including contributions)2014-09-30$726,850
Total loss/gain on sale of assets2014-09-30$0
Total of all expenses incurred2014-09-30$453,062
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-09-30$434,664
Value of total corrective distributions2014-09-30$11,227
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-09-30$475,809
Value of total assets at end of year2014-09-30$9,798,361
Value of total assets at beginning of year2014-09-30$9,524,573
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-09-30$7,171
Total interest from all sources2014-09-30$79,428
Total dividends received (eg from common stock, registered investment company shares)2014-09-30$20
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-09-30No
Was this plan covered by a fidelity bond2014-09-30Yes
Value of fidelity bond cover2014-09-30$500,000
If this is an individual account plan, was there a blackout period2014-09-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-09-30$0
Were there any nonexempt tranactions with any party-in-interest2014-09-30No
Contributions received from participants2014-09-30$275,764
Participant contributions at end of year2014-09-30$13,012
Participant contributions at beginning of year2014-09-30$44,782
Participant contributions at end of year2014-09-30$28,899
Participant contributions at beginning of year2014-09-30$21,477
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-09-30$1,647
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-09-30$4,185
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-09-30No
Value of net income/loss2014-09-30$273,788
Value of net assets at end of year (total assets less liabilities)2014-09-30$9,798,361
Value of net assets at beginning of year (total assets less liabilities)2014-09-30$9,524,573
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2014-09-30No
Were any leases to which the plan was party in default or uncollectible2014-09-30No
Value of interest in pooled separate accounts at end of year2014-09-30$5,235,730
Value of interest in pooled separate accounts at beginning of year2014-09-30$5,719,608
Interest on participant loans2014-09-30$2,903
Interest earned on other investments2014-09-30$76,525
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-09-30$4,317,916
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-09-30$3,717,583
Expenses. Payments to insurance carriers foe the provision of benefits2014-09-30$12,318
Net investment gain/loss from pooled separate accounts2014-09-30$171,507
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-09-30No
Was there a failure to transmit to the plan any participant contributions2014-09-30No
Has the plan failed to provide any benefit when due under the plan2014-09-30No
Contributions received in cash from employer2014-09-30$200,045
Employer contributions (assets) at end of year2014-09-30$200,045
Income. Dividends from common stock2014-09-30$20
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-09-30$422,346
Contract administrator fees2014-09-30$7,171
Assets. Corporate common stocks other than exployer securities at end of year2014-09-30$1,112
Assets. Corporate common stocks other than exployer securities at beginning of year2014-09-30$16,938
Did the plan have assets held for investment2014-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-09-30No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-09-30No
Opinion of an independent qualified public accountant for this plan2014-09-30Unqualified
Accountancy firm name2014-09-30THE AUDIT GROUP, PLLC
Accountancy firm EIN2014-09-30461340244
2013 : STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$6,529
Total unrealized appreciation/depreciation of assets2013-12-31$6,529
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$1,526,714
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$454,593
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$421,769
Value of total corrective distributions2013-12-31$8,286
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$306,362
Value of total assets at end of year2013-12-31$9,524,573
Value of total assets at beginning of year2013-12-31$8,452,452
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$24,538
Total interest from all sources2013-12-31$97,653
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$457
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
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$306,362
Participant contributions at end of year2013-12-31$44,782
Participant contributions at beginning of year2013-12-31$91,193
Participant contributions at end of year2013-12-31$21,477
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$4,185
Other income not declared elsewhere2013-12-31$4,142
Administrative expenses (other) incurred2013-12-31$16,594
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$1,072,121
Value of net assets at end of year (total assets less liabilities)2013-12-31$9,524,573
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$8,452,452
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in pooled separate accounts at end of year2013-12-31$5,719,608
Value of interest in pooled separate accounts at beginning of year2013-12-31$5,464,258
Income. Interest from loans (other than to participants)2013-12-31$6,570
Interest earned on other investments2013-12-31$91,083
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$23,226
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$23,226
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$3,717,583
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$2,863,366
Net investment gain/loss from pooled separate accounts2013-12-31$1,111,571
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
Income. Dividends from common stock2013-12-31$457
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$421,769
Contract administrator fees2013-12-31$7,944
Assets. Corporate common stocks other than exployer securities at end of year2013-12-31$16,938
Assets. Corporate common stocks other than exployer securities at beginning of year2013-12-31$10,409
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31No
Opinion of an independent qualified public accountant for this plan2013-12-31Unqualified
Accountancy firm name2013-12-31THE AUDIT GROUP, PLLC
Accountancy firm EIN2013-12-31461340244
2012 : STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$-78
Total unrealized appreciation/depreciation of assets2012-12-31$-78
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$110,894
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$154,247
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$154,247
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$20,266
Value of total assets at end of year2012-12-31$8,452,452
Value of total assets at beginning of year2012-12-31$8,495,805
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$0
Total interest from all sources2012-12-31$7,219
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$15
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$20,266
Participant contributions at end of year2012-12-31$91,193
Participant contributions at beginning of year2012-12-31$94,634
Other income not declared elsewhere2012-12-31$949
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$-43,353
Value of net assets at end of year (total assets less liabilities)2012-12-31$8,452,452
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$8,495,805
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in pooled separate accounts at end of year2012-12-31$5,464,258
Value of interest in pooled separate accounts at beginning of year2012-12-31$5,641,353
Interest on participant loans2012-12-31$788
Interest earned on other investments2012-12-31$6,421
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$23,226
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$10
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$2,863,366
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$2,749,331
Expenses. Payments to insurance carriers foe the provision of benefits2012-12-31$1,279
Net investment gain/loss from pooled separate accounts2012-12-31$82,523
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
Income. Dividends from common stock2012-12-31$15
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$152,968
Assets. Corporate common stocks other than exployer securities at end of year2012-12-31$10,409
Assets. Corporate common stocks other than exployer securities at beginning of year2012-12-31$10,487
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31THE AUDIT GROUP, PLLC
Accountancy firm EIN2012-12-31461340244
Unrealized appreciation/depreciation of other (non real estate) assets2012-11-30$1,170
Total unrealized appreciation/depreciation of assets2012-11-30$1,170
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-11-30$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-11-30$0
Total income from all sources (including contributions)2012-11-30$1,068,615
Total loss/gain on sale of assets2012-11-30$6,292
Total of all expenses incurred2012-11-30$1,549,234
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-11-30$1,531,310
Value of total corrective distributions2012-11-30$5,530
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-11-30$281,002
Value of total assets at end of year2012-11-30$8,495,805
Value of total assets at beginning of year2012-11-30$8,976,424
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-11-30$12,394
Total interest from all sources2012-11-30$88,155
Total dividends received (eg from common stock, registered investment company shares)2012-11-30$18,000
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-11-30No
Total dividends received from registered investment company shares (eg mutual funds)2012-11-30$17,607
Administrative expenses professional fees incurred2012-11-30$5,330
Was this plan covered by a fidelity bond2012-11-30Yes
Value of fidelity bond cover2012-11-30$500,000
If this is an individual account plan, was there a blackout period2012-11-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-11-30$0
Were there any nonexempt tranactions with any party-in-interest2012-11-30No
Contributions received from participants2012-11-30$276,593
Participant contributions at end of year2012-11-30$94,634
Participant contributions at beginning of year2012-11-30$141,390
Income. Received or receivable in cash from other sources (including rollovers)2012-11-30$4,409
Other income not declared elsewhere2012-11-30$102,258
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-11-30No
Value of net income/loss2012-11-30$-480,619
Value of net assets at end of year (total assets less liabilities)2012-11-30$8,495,805
Value of net assets at beginning of year (total assets less liabilities)2012-11-30$8,976,424
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-11-30No
Were any loans by the plan or fixed income obligations due to the plan in default2012-11-30No
Were any leases to which the plan was party in default or uncollectible2012-11-30No
Assets. partnership/joint venture interests at end of year2012-11-30$0
Assets. partnership/joint venture interests at beginning of year2012-11-30$45,513
Investment advisory and management fees2012-11-30$383
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-11-30$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-11-30$771,398
Value of interest in pooled separate accounts at end of year2012-11-30$5,641,353
Value of interest in pooled separate accounts at beginning of year2012-11-30$4,851,012
Interest on participant loans2012-11-30$12,135
Interest earned on other investments2012-11-30$75,985
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-11-30$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-11-30$121,378
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-11-30$121,378
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-11-30$35
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-11-30$2,749,331
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-11-30$2,887,476
Expenses. Payments to insurance carriers foe the provision of benefits2012-11-30$17,465
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-11-30$71,778
Net investment gain/loss from pooled separate accounts2012-11-30$499,960
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-11-30No
Was there a failure to transmit to the plan any participant contributions2012-11-30No
Has the plan failed to provide any benefit when due under the plan2012-11-30No
Income. Dividends from common stock2012-11-30$393
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-11-30$1,513,845
Contract administrator fees2012-11-30$6,681
Assets. Corporate common stocks other than exployer securities at end of year2012-11-30$10,487
Assets. Corporate common stocks other than exployer securities at beginning of year2012-11-30$158,257
Did the plan have assets held for investment2012-11-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-11-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-11-30No
Aggregate proceeds on sale of assets2012-11-30$270,599
Aggregate carrying amount (costs) on sale of assets2012-11-30$264,307
2011 : STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-11-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-11-30$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-11-30$0
Total income from all sources (including contributions)2011-11-30$361,350
Total loss/gain on sale of assets2011-11-30$0
Total of all expenses incurred2011-11-30$332,351
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-11-30$296,602
Value of total corrective distributions2011-11-30$13,912
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-11-30$284,124
Value of total assets at end of year2011-11-30$8,976,424
Value of total assets at beginning of year2011-11-30$8,947,425
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-11-30$21,837
Total interest from all sources2011-11-30$23,326
Total dividends received (eg from common stock, registered investment company shares)2011-11-30$21,482
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-11-30No
Total dividends received from registered investment company shares (eg mutual funds)2011-11-30$21,482
Administrative expenses professional fees incurred2011-11-30$5,650
Was this plan covered by a fidelity bond2011-11-30Yes
Value of fidelity bond cover2011-11-30$500,000
If this is an individual account plan, was there a blackout period2011-11-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-11-30$0
Were there any nonexempt tranactions with any party-in-interest2011-11-30No
Contributions received from participants2011-11-30$283,638
Participant contributions at end of year2011-11-30$0
Participant contributions at beginning of year2011-11-30$24,027
Assets. Other investments not covered elsewhere at end of year2011-11-30$0
Assets. Other investments not covered elsewhere at beginning of year2011-11-30$223,365
Income. Received or receivable in cash from other sources (including rollovers)2011-11-30$486
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-11-30$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-11-30$10,336
Assets. Loans (other than to participants) at end of year2011-11-30$141,390
Assets. Loans (other than to participants) at beginning of year2011-11-30$226,915
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-11-30No
Value of net income/loss2011-11-30$28,999
Value of net assets at end of year (total assets less liabilities)2011-11-30$8,976,424
Value of net assets at beginning of year (total assets less liabilities)2011-11-30$8,947,425
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-11-30No
Were any loans by the plan or fixed income obligations due to the plan in default2011-11-30No
Were any leases to which the plan was party in default or uncollectible2011-11-30No
Assets. partnership/joint venture interests at end of year2011-11-30$45,513
Assets. partnership/joint venture interests at beginning of year2011-11-30$0
Investment advisory and management fees2011-11-30$11,280
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-11-30$771,398
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-11-30$1,129,801
Value of interest in pooled separate accounts at end of year2011-11-30$4,851,012
Value of interest in pooled separate accounts at beginning of year2011-11-30$4,619,064
Interest on participant loans2011-11-30$18,689
Interest earned on other investments2011-11-30$4,637
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-11-30$121,378
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-11-30$2,887,476
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-11-30$2,693,660
Expenses. Payments to insurance carriers foe the provision of benefits2011-11-30$21,764
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-11-30$-47,548
Net investment gain/loss from pooled separate accounts2011-11-30$79,966
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-11-30No
Was there a failure to transmit to the plan any participant contributions2011-11-30No
Has the plan failed to provide any benefit when due under the plan2011-11-30No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-11-30$274,838
Contract administrator fees2011-11-30$4,907
Assets. Corporate common stocks other than exployer securities at end of year2011-11-30$158,257
Assets. Corporate common stocks other than exployer securities at beginning of year2011-11-30$20,257
Did the plan have assets held for investment2011-11-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-11-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-11-30No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-11-30No
Opinion of an independent qualified public accountant for this plan2011-11-30Unqualified
Accountancy firm name2011-11-30THE CPA GROUP, PC
Accountancy firm EIN2011-11-30383417289
2010 : STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-11-30$0

Form 5500 Responses for STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN

2014: STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-10-01Type of plan entitySingle employer plan
2014-10-01Submission has been amendedNo
2014-10-01This submission is the final filingNo
2014-10-01This return/report is a short plan year return/report (less than 12 months)No
2014-10-01Plan is a collectively bargained planNo
2014-10-01Plan funding arrangement – InsuranceYes
2014-10-01Plan funding arrangement – TrustYes
2014-10-01Plan benefit arrangement – InsuranceYes
2014-10-01Plan benefit arrangement - TrustYes
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)Yes
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-12-01Type of plan entitySingle employer plan
2012-12-01Submission has been amendedNo
2012-12-01This submission is the final filingNo
2012-12-01This return/report is a short plan year return/report (less than 12 months)Yes
2012-12-01Plan is a collectively bargained planNo
2012-12-01Plan funding arrangement – InsuranceYes
2012-12-01Plan funding arrangement – TrustYes
2012-12-01Plan benefit arrangement – InsuranceYes
2012-12-01Plan benefit arrangement - TrustYes
2011: STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-12-01Type of plan entitySingle employer plan
2011-12-01Submission has been amendedNo
2011-12-01This submission is the final filingNo
2011-12-01This return/report is a short plan year return/report (less than 12 months)No
2011-12-01Plan is a collectively bargained planNo
2011-12-01Plan funding arrangement – InsuranceYes
2011-12-01Plan funding arrangement – TrustYes
2011-12-01Plan benefit arrangement – InsuranceYes
2011-12-01Plan benefit arrangement - TrustYes
2009: STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-12-01Type of plan entitySingle employer plan
2009-12-01Submission has been amendedNo
2009-12-01This submission is the final filingNo
2009-12-01This return/report is a short plan year return/report (less than 12 months)No
2009-12-01Plan is a collectively bargained planNo
2009-12-01Plan funding arrangement – InsuranceYes
2009-12-01Plan funding arrangement – TrustYes
2009-12-01Plan benefit arrangement – InsuranceYes
2009-12-01Plan benefit arrangement - TrustYes
2008: STANDARD COMPANIES, INC. 401(K) PROFIT SHARING PLAN 2008 form 5500 responses
2008-12-01Type of plan entityMulti-employer plan
2008-12-01Submission has been amendedNo
2008-12-01This submission is the final filingNo
2008-12-01This return/report is a short plan year return/report (less than 12 months)No
2008-12-01Plan is a collectively bargained planNo

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberGH1908
Policy instance 1
Insurance contract or identification numberGH1908
Number of Individuals Covered5
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $11,643
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $11,643
Insurance broker organization code?3
Insurance broker nameGARY SUDY
SECURITY LIFE OF DENVER INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68713 )
Policy contract numberE450001228
Policy instance 2
Insurance contract or identification numberE450001228
Number of Individuals Covered0
Insurance policy start date2014-10-01
Insurance policy end date2015-09-30
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?Yes
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
Commission paid to Insurance BrokerUSD $0
Insurance broker organization code?3
Insurance broker nameGREAT LAKES FINANCIAL INS AGENCY
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberGH1908
Policy instance 1
Insurance contract or identification numberGH1908
Number of Individuals Covered149
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $37,335
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $37,335
Insurance broker organization code?3
Insurance broker nameGARY SUDY
SECURITY LIFE OF DENVER INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68713 )
Policy contract numberE450001228
Policy instance 2
Insurance contract or identification numberE450001228
Number of Individuals Covered27
Insurance policy start date2014-01-01
Insurance policy end date2014-09-30
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?Yes
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
Insurance broker organization code?3
Insurance broker nameGARY SUDY
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberGH1908
Policy instance 1
Insurance contract or identification numberGH1908
Number of Individuals Covered153
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $33,896
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $33,896
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameGARY SUDY
NEW ENGLAND FINANCIAL (National Association of Insurance Commissioners NAIC id number: 91626 )
Policy contract number041558000
Policy instance 2
Insurance contract or identification number041558000
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
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?Yes
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
SECURITY LIFE OF DENVER INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68713 )
Policy contract numberE450001228
Policy instance 3
Insurance contract or identification numberE450001228
Number of Individuals Covered27
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $492
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
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
Commission paid to Insurance BrokerUSD $452
Insurance broker organization code?3
Insurance broker nameGARY SUDY
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberGH1908
Policy instance 1
Insurance contract or identification numberGH1908
Number of Individuals Covered144
Insurance policy start date2012-12-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $2,728
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $2,728
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameGARY SUDY
SECURITY LIFE OF DENVER INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68713 )
Policy contract numberE450001228
Policy instance 3
Insurance contract or identification numberE450001228
Number of Individuals Covered27
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $486
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
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
Commission paid to Insurance BrokerUSD $462
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameGARY SUDY
NEW ENGLAND FINANCIAL (National Association of Insurance Commissioners NAIC id number: 91626 )
Policy contract number041558000
Policy instance 2
Insurance contract or identification number041558000
Number of Individuals Covered2
Insurance policy start date2012-12-01
Insurance policy end date2012-12-31
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?Yes
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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberGH1908
Policy instance 1
Insurance contract or identification numberGH1908
Number of Individuals Covered157
Insurance policy start date2011-12-01
Insurance policy end date2012-11-30
Total amount of commissions paid to insurance brokerUSD $31,575
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
NEW ENGLAND FINANCIAL (National Association of Insurance Commissioners NAIC id number: 91626 )
Policy contract number041558000
Policy instance 2
Insurance contract or identification number041558000
Number of Individuals Covered2
Insurance policy start date2011-12-01
Insurance policy end date2012-11-30
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?Yes
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
SECURITY LIFE OF DENVER INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68713 )
Policy contract numberE450001228
Policy instance 3
Insurance contract or identification numberE450001228
Number of Individuals Covered30
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $1,637
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberGH1908
Policy instance 1
Insurance contract or identification numberGH1908
Number of Individuals Covered146
Insurance policy start date2010-12-01
Insurance policy end date2011-11-30
Total amount of commissions paid to insurance brokerUSD $30,691
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
NEW ENGLAND FINANCIAL (National Association of Insurance Commissioners NAIC id number: 91626 )
Policy contract number041558000
Policy instance 2
Insurance contract or identification number041558000
Number of Individuals Covered2
Insurance policy start date2010-12-01
Insurance policy end date2011-11-30
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?Yes
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
SECURITY LIFE OF DENVER INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68713 )
Policy contract numberE450001228
Policy instance 3
Insurance contract or identification numberE450001228
Number of Individuals Covered30
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $1,637
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
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

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