KAPUR & ASSOCIATES, INC. has sponsored the creation of one or more 401k plans.
Additional information about KAPUR & ASSOCIATES, INC.
Submission information for form 5500 for 401k plan KAPUR & ASSOCIATES, INC. 401K SAVINGS PLAN
401k plan membership statisitcs for KAPUR & ASSOCIATES, INC. 401K SAVINGS PLAN
| Measure | Date | Value |
|---|
| 2022 : KAPUR & ASSOCIATES, INC. 401K SAVINGS PLAN 2022 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2022-09-30 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-09-30 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-09-30 | $0 |
| Total income from all sources (including contributions) | 2022-09-30 | $-3,928,814 |
| Total loss/gain on sale of assets | 2022-09-30 | $0 |
| Total of all expenses incurred | 2022-09-30 | $1,444,239 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2022-09-30 | $1,257,342 |
| Value of total corrective distributions | 2022-09-30 | $41,789 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2022-09-30 | $2,511,322 |
| Value of total assets at end of year | 2022-09-30 | $30,111,290 |
| Value of total assets at beginning of year | 2022-09-30 | $35,484,343 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2022-09-30 | $145,108 |
| Total interest from all sources | 2022-09-30 | $13,189 |
| Total dividends received (eg from common stock, registered investment company shares) | 2022-09-30 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2022-09-30 | No |
| Was this plan covered by a fidelity bond | 2022-09-30 | Yes |
| Value of fidelity bond cover | 2022-09-30 | $500,000 |
| If this is an individual account plan, was there a blackout period | 2022-09-30 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2022-09-30 | No |
| Contributions received from participants | 2022-09-30 | $1,897,448 |
| Participant contributions at end of year | 2022-09-30 | $289,364 |
| Participant contributions at beginning of year | 2022-09-30 | $299,980 |
| Participant contributions at end of year | 2022-09-30 | $0 |
| Participant contributions at beginning of year | 2022-09-30 | $66,025 |
| Assets. Other investments not covered elsewhere at end of year | 2022-09-30 | $3,898,617 |
| Assets. Other investments not covered elsewhere at beginning of year | 2022-09-30 | $4,815,682 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2022-09-30 | $613,874 |
| Other income not declared elsewhere | 2022-09-30 | $-834,241 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-09-30 | No |
| Value of net income/loss | 2022-09-30 | $-5,373,053 |
| Value of net assets at end of year (total assets less liabilities) | 2022-09-30 | $30,111,290 |
| Value of net assets at beginning of year (total assets less liabilities) | 2022-09-30 | $35,484,343 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2022-09-30 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2022-09-30 | No |
| Were any leases to which the plan was party in default or uncollectible | 2022-09-30 | No |
| Investment advisory and management fees | 2022-09-30 | $59,598 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2022-09-30 | $25,923,309 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2022-09-30 | $30,302,656 |
| Interest on participant loans | 2022-09-30 | $13,189 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2022-09-30 | $-5,619,084 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2022-09-30 | No |
| Was there a failure to transmit to the plan any participant contributions | 2022-09-30 | No |
| Has the plan failed to provide any benefit when due under the plan | 2022-09-30 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2022-09-30 | $1,257,342 |
| Contract administrator fees | 2022-09-30 | $85,510 |
| Did the plan have assets held for investment | 2022-09-30 | 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 | 2022-09-30 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2022-09-30 | No |
| Opinion of an independent qualified public accountant for this plan | 2022-09-30 | Unqualified |
| Accountancy firm name | 2022-09-30 | WEGNER CPAS, LLP |
| Accountancy firm EIN | 2022-09-30 | 390974031 |
| 2021 : KAPUR & ASSOCIATES, INC. 401K SAVINGS PLAN 2021 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2021-09-30 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-09-30 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-09-30 | $0 |
| Total income from all sources (including contributions) | 2021-09-30 | $8,912,176 |
| Total loss/gain on sale of assets | 2021-09-30 | $0 |
| Total of all expenses incurred | 2021-09-30 | $2,873,434 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2021-09-30 | $2,705,642 |
| Value of total corrective distributions | 2021-09-30 | $41,628 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2021-09-30 | $1,988,140 |
| Value of total assets at end of year | 2021-09-30 | $35,484,343 |
| Value of total assets at beginning of year | 2021-09-30 | $29,445,601 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2021-09-30 | $126,164 |
| Total interest from all sources | 2021-09-30 | $12,035 |
| Total dividends received (eg from common stock, registered investment company shares) | 2021-09-30 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2021-09-30 | No |
| Was this plan covered by a fidelity bond | 2021-09-30 | Yes |
| Value of fidelity bond cover | 2021-09-30 | $500,000 |
| If this is an individual account plan, was there a blackout period | 2021-09-30 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2021-09-30 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2021-09-30 | No |
| Contributions received from participants | 2021-09-30 | $1,698,946 |
| Participant contributions at end of year | 2021-09-30 | $299,980 |
| Participant contributions at beginning of year | 2021-09-30 | $255,857 |
| Participant contributions at end of year | 2021-09-30 | $66,025 |
| Participant contributions at beginning of year | 2021-09-30 | $0 |
| Assets. Other investments not covered elsewhere at end of year | 2021-09-30 | $4,815,682 |
| Assets. Other investments not covered elsewhere at beginning of year | 2021-09-30 | $3,866,925 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2021-09-30 | $289,194 |
| Other income not declared elsewhere | 2021-09-30 | $962,042 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-09-30 | No |
| Value of net income/loss | 2021-09-30 | $6,038,742 |
| Value of net assets at end of year (total assets less liabilities) | 2021-09-30 | $35,484,343 |
| Value of net assets at beginning of year (total assets less liabilities) | 2021-09-30 | $29,445,601 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2021-09-30 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2021-09-30 | No |
| Were any leases to which the plan was party in default or uncollectible | 2021-09-30 | No |
| Investment advisory and management fees | 2021-09-30 | $56,138 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2021-09-30 | $30,302,656 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2021-09-30 | $25,322,819 |
| Interest on participant loans | 2021-09-30 | $12,035 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2021-09-30 | $5,949,959 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2021-09-30 | No |
| Was there a failure to transmit to the plan any participant contributions | 2021-09-30 | No |
| Has the plan failed to provide any benefit when due under the plan | 2021-09-30 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2021-09-30 | $2,705,642 |
| Contract administrator fees | 2021-09-30 | $70,026 |
| Did the plan have assets held for investment | 2021-09-30 | 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 | 2021-09-30 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2021-09-30 | No |
| Opinion of an independent qualified public accountant for this plan | 2021-09-30 | Unqualified |
| Accountancy firm name | 2021-09-30 | WEGNER CPAS, LLP |
| Accountancy firm EIN | 2021-09-30 | 390974031 |
| 2020 : KAPUR & ASSOCIATES, INC. 401K SAVINGS PLAN 2020 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2020-09-30 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2020-09-30 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2020-09-30 | $0 |
| Total income from all sources (including contributions) | 2020-09-30 | $5,385,093 |
| Total loss/gain on sale of assets | 2020-09-30 | $0 |
| Total of all expenses incurred | 2020-09-30 | $1,477,258 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2020-09-30 | $1,366,693 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2020-09-30 | $2,456,631 |
| Value of total assets at end of year | 2020-09-30 | $29,445,601 |
| Value of total assets at beginning of year | 2020-09-30 | $25,537,766 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2020-09-30 | $110,565 |
| Total interest from all sources | 2020-09-30 | $12,155 |
| Total dividends received (eg from common stock, registered investment company shares) | 2020-09-30 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2020-09-30 | No |
| Was this plan covered by a fidelity bond | 2020-09-30 | Yes |
| Value of fidelity bond cover | 2020-09-30 | $500,000 |
| If this is an individual account plan, was there a blackout period | 2020-09-30 | Yes |
| Were there any nonexempt tranactions with any party-in-interest | 2020-09-30 | No |
| Contributions received from participants | 2020-09-30 | $1,565,132 |
| Participant contributions at end of year | 2020-09-30 | $255,857 |
| Participant contributions at beginning of year | 2020-09-30 | $222,558 |
| Participant contributions at end of year | 2020-09-30 | $0 |
| Participant contributions at beginning of year | 2020-09-30 | $55,854 |
| Assets. Other investments not covered elsewhere at end of year | 2020-09-30 | $3,866,925 |
| Assets. Other investments not covered elsewhere at beginning of year | 2020-09-30 | $3,511,483 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2020-09-30 | $891,499 |
| Other income not declared elsewhere | 2020-09-30 | $537,586 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-09-30 | No |
| Value of net income/loss | 2020-09-30 | $3,907,835 |
| Value of net assets at end of year (total assets less liabilities) | 2020-09-30 | $29,445,601 |
| Value of net assets at beginning of year (total assets less liabilities) | 2020-09-30 | $25,537,766 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2020-09-30 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2020-09-30 | No |
| Were any leases to which the plan was party in default or uncollectible | 2020-09-30 | No |
| Investment advisory and management fees | 2020-09-30 | $44,944 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2020-09-30 | $25,322,819 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2020-09-30 | $21,747,871 |
| Interest on participant loans | 2020-09-30 | $12,155 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2020-09-30 | $2,378,721 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2020-09-30 | No |
| Was there a failure to transmit to the plan any participant contributions | 2020-09-30 | No |
| Has the plan failed to provide any benefit when due under the plan | 2020-09-30 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2020-09-30 | $1,366,693 |
| Contract administrator fees | 2020-09-30 | $65,621 |
| 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 | 2020-09-30 | Yes |
| Did the plan have assets held for investment | 2020-09-30 | 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 | 2020-09-30 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2020-09-30 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2020-09-30 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2020-09-30 | Disclaimer |
| Accountancy firm name | 2020-09-30 | WEGNER CPAS, LLP |
| Accountancy firm EIN | 2020-09-30 | 390974031 |
| 2019 : KAPUR & ASSOCIATES, INC. 401K SAVINGS PLAN 2019 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2019-09-30 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-09-30 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2019-09-30 | $0 |
| Total income from all sources (including contributions) | 2019-09-30 | $2,772,305 |
| Total loss/gain on sale of assets | 2019-09-30 | $0 |
| Total of all expenses incurred | 2019-09-30 | $1,530,198 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-09-30 | $1,408,065 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-09-30 | $2,185,347 |
| Value of total assets at end of year | 2019-09-30 | $25,537,766 |
| Value of total assets at beginning of year | 2019-09-30 | $24,295,659 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-09-30 | $122,133 |
| Total interest from all sources | 2019-09-30 | $10,425 |
| Total dividends received (eg from common stock, registered investment company shares) | 2019-09-30 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2019-09-30 | No |
| Administrative expenses professional fees incurred | 2019-09-30 | $9,000 |
| Was this plan covered by a fidelity bond | 2019-09-30 | Yes |
| Value of fidelity bond cover | 2019-09-30 | $500,000 |
| If this is an individual account plan, was there a blackout period | 2019-09-30 | Yes |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2019-09-30 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2019-09-30 | No |
| Contributions received from participants | 2019-09-30 | $1,379,574 |
| Participant contributions at end of year | 2019-09-30 | $222,558 |
| Participant contributions at beginning of year | 2019-09-30 | $198,520 |
| Participant contributions at end of year | 2019-09-30 | $55,854 |
| Participant contributions at beginning of year | 2019-09-30 | $25,677 |
| Assets. Other investments not covered elsewhere at end of year | 2019-09-30 | $3,511,483 |
| Assets. Other investments not covered elsewhere at beginning of year | 2019-09-30 | $3,589,840 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2019-09-30 | $805,773 |
| Other income not declared elsewhere | 2019-09-30 | $-187,523 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2019-09-30 | No |
| Value of net income/loss | 2019-09-30 | $1,242,107 |
| Value of net assets at end of year (total assets less liabilities) | 2019-09-30 | $25,537,766 |
| Value of net assets at beginning of year (total assets less liabilities) | 2019-09-30 | $24,295,659 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2019-09-30 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2019-09-30 | No |
| Were any leases to which the plan was party in default or uncollectible | 2019-09-30 | No |
| Investment advisory and management fees | 2019-09-30 | $51,164 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2019-09-30 | $21,747,871 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-09-30 | $20,481,622 |
| Interest on participant loans | 2019-09-30 | $10,425 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-09-30 | $764,056 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2019-09-30 | No |
| Was there a failure to transmit to the plan any participant contributions | 2019-09-30 | No |
| Has the plan failed to provide any benefit when due under the plan | 2019-09-30 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-09-30 | $1,408,065 |
| Contract administrator fees | 2019-09-30 | $61,969 |
| 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 | 2019-09-30 | Yes |
| Did the plan have assets held for investment | 2019-09-30 | 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 | 2019-09-30 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2019-09-30 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2019-09-30 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2019-09-30 | Disclaimer |
| Accountancy firm name | 2019-09-30 | WEGNER CPAS, LLP |
| Accountancy firm EIN | 2019-09-30 | 390974031 |
| 2018 : KAPUR & ASSOCIATES, INC. 401K SAVINGS PLAN 2018 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2018-09-30 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-09-30 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-09-30 | $0 |
| Total income from all sources (including contributions) | 2018-09-30 | $7,390,706 |
| Total loss/gain on sale of assets | 2018-09-30 | $0 |
| Total of all expenses incurred | 2018-09-30 | $1,338,237 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2018-09-30 | $1,229,678 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2018-09-30 | $5,390,122 |
| Value of total assets at end of year | 2018-09-30 | $24,295,659 |
| Value of total assets at beginning of year | 2018-09-30 | $18,243,190 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2018-09-30 | $108,559 |
| Total interest from all sources | 2018-09-30 | $10,127 |
| Total dividends received (eg from common stock, registered investment company shares) | 2018-09-30 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2018-09-30 | No |
| Administrative expenses professional fees incurred | 2018-09-30 | $9,010 |
| Was this plan covered by a fidelity bond | 2018-09-30 | Yes |
| Value of fidelity bond cover | 2018-09-30 | $500,000 |
| If this is an individual account plan, was there a blackout period | 2018-09-30 | Yes |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2018-09-30 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2018-09-30 | No |
| Contributions received from participants | 2018-09-30 | $1,255,532 |
| Participant contributions at end of year | 2018-09-30 | $198,520 |
| Participant contributions at beginning of year | 2018-09-30 | $245,812 |
| Participant contributions at end of year | 2018-09-30 | $25,677 |
| Participant contributions at beginning of year | 2018-09-30 | $923 |
| Assets. Other investments not covered elsewhere at end of year | 2018-09-30 | $3,589,840 |
| Assets. Other investments not covered elsewhere at beginning of year | 2018-09-30 | $3,207,710 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2018-09-30 | $4,134,590 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2018-09-30 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2018-09-30 | $0 |
| Other income not declared elsewhere | 2018-09-30 | $173,757 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2018-09-30 | No |
| Value of net income/loss | 2018-09-30 | $6,052,469 |
| Value of net assets at end of year (total assets less liabilities) | 2018-09-30 | $24,295,659 |
| Value of net assets at beginning of year (total assets less liabilities) | 2018-09-30 | $18,243,190 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2018-09-30 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2018-09-30 | No |
| Were any leases to which the plan was party in default or uncollectible | 2018-09-30 | No |
| Investment advisory and management fees | 2018-09-30 | $40,172 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2018-09-30 | $20,481,622 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2018-09-30 | $14,788,745 |
| Interest on participant loans | 2018-09-30 | $10,127 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2018-09-30 | $1,816,700 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2018-09-30 | No |
| Was there a failure to transmit to the plan any participant contributions | 2018-09-30 | No |
| Has the plan failed to provide any benefit when due under the plan | 2018-09-30 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2018-09-30 | $1,229,678 |
| Contract administrator fees | 2018-09-30 | $59,377 |
| 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 | 2018-09-30 | Yes |
| Did the plan have assets held for investment | 2018-09-30 | 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 | 2018-09-30 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2018-09-30 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2018-09-30 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2018-09-30 | Disclaimer |
| Accountancy firm name | 2018-09-30 | WEGNER CPAS, LLP |
| Accountancy firm EIN | 2018-09-30 | 390974031 |
| 2017 : KAPUR & ASSOCIATES, INC. 401K SAVINGS PLAN 2017 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2017-09-30 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-09-30 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2017-09-30 | $0 |
| Total income from all sources (including contributions) | 2017-09-30 | $3,127,401 |
| Total loss/gain on sale of assets | 2017-09-30 | $0 |
| Total of all expenses incurred | 2017-09-30 | $2,307,628 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2017-09-30 | $2,230,246 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2017-09-30 | $1,240,029 |
| Value of total assets at end of year | 2017-09-30 | $18,243,190 |
| Value of total assets at beginning of year | 2017-09-30 | $17,423,417 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2017-09-30 | $77,382 |
| Total interest from all sources | 2017-09-30 | $9,953 |
| Total dividends received (eg from common stock, registered investment company shares) | 2017-09-30 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2017-09-30 | No |
| Administrative expenses professional fees incurred | 2017-09-30 | $77,382 |
| Was this plan covered by a fidelity bond | 2017-09-30 | Yes |
| Value of fidelity bond cover | 2017-09-30 | $500,000 |
| If this is an individual account plan, was there a blackout period | 2017-09-30 | Yes |
| Were there any nonexempt tranactions with any party-in-interest | 2017-09-30 | No |
| Contributions received from participants | 2017-09-30 | $985,017 |
| Participant contributions at end of year | 2017-09-30 | $245,812 |
| Participant contributions at beginning of year | 2017-09-30 | $0 |
| Participant contributions at end of year | 2017-09-30 | $923 |
| Participant contributions at beginning of year | 2017-09-30 | $105,459 |
| Assets. Other investments not covered elsewhere at end of year | 2017-09-30 | $3,207,710 |
| Assets. Other investments not covered elsewhere at beginning of year | 2017-09-30 | $4,849,360 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2017-09-30 | $255,012 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2017-09-30 | $0 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2017-09-30 | $260,617 |
| Other income not declared elsewhere | 2017-09-30 | $308,191 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2017-09-30 | No |
| Value of net income/loss | 2017-09-30 | $819,773 |
| Value of net assets at end of year (total assets less liabilities) | 2017-09-30 | $18,243,190 |
| Value of net assets at beginning of year (total assets less liabilities) | 2017-09-30 | $17,423,417 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2017-09-30 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2017-09-30 | No |
| Were any leases to which the plan was party in default or uncollectible | 2017-09-30 | No |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2017-09-30 | $14,788,745 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2017-09-30 | $0 |
| Value of interest in pooled separate accounts at end of year | 2017-09-30 | $0 |
| Value of interest in pooled separate accounts at beginning of year | 2017-09-30 | $11,390,402 |
| Interest on participant loans | 2017-09-30 | $9,953 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2017-09-30 | $0 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2017-09-30 | $817,579 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2017-09-30 | $1,569,228 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2017-09-30 | No |
| Was there a failure to transmit to the plan any participant contributions | 2017-09-30 | No |
| Has the plan failed to provide any benefit when due under the plan | 2017-09-30 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2017-09-30 | $2,230,246 |
| 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 | 2017-09-30 | Yes |
| Did the plan have assets held for investment | 2017-09-30 | 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 | 2017-09-30 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2017-09-30 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2017-09-30 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2017-09-30 | Disclaimer |
| Accountancy firm name | 2017-09-30 | WEGNER CPAS, LLP |
| Accountancy firm EIN | 2017-09-30 | 390974031 |
| 2016 : KAPUR & ASSOCIATES, INC. 401K SAVINGS PLAN 2016 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2016-09-30 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2016-09-30 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2016-09-30 | $0 |
| Total income from all sources (including contributions) | 2016-09-30 | $2,590,768 |
| Total loss/gain on sale of assets | 2016-09-30 | $0 |
| Total of all expenses incurred | 2016-09-30 | $383,720 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2016-09-30 | $315,227 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2016-09-30 | $1,185,774 |
| Value of total assets at end of year | 2016-09-30 | $17,423,417 |
| Value of total assets at beginning of year | 2016-09-30 | $15,216,369 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2016-09-30 | $68,493 |
| Total interest from all sources | 2016-09-30 | $7,991 |
| Total dividends received (eg from common stock, registered investment company shares) | 2016-09-30 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2016-09-30 | No |
| Administrative expenses professional fees incurred | 2016-09-30 | $68,493 |
| Was this plan covered by a fidelity bond | 2016-09-30 | Yes |
| Value of fidelity bond cover | 2016-09-30 | $500,000 |
| If this is an individual account plan, was there a blackout period | 2016-09-30 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2016-09-30 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2016-09-30 | No |
| Contributions received from participants | 2016-09-30 | $1,013,142 |
| Participant contributions at end of year | 2016-09-30 | $0 |
| Participant contributions at beginning of year | 2016-09-30 | $219,880 |
| Participant contributions at end of year | 2016-09-30 | $105,459 |
| Participant contributions at beginning of year | 2016-09-30 | $6,463 |
| Assets. Other investments not covered elsewhere at end of year | 2016-09-30 | $4,849,360 |
| Assets. Other investments not covered elsewhere at beginning of year | 2016-09-30 | $4,348,546 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2016-09-30 | $172,632 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2016-09-30 | $260,617 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2016-09-30 | No |
| Value of net income/loss | 2016-09-30 | $2,207,048 |
| Value of net assets at end of year (total assets less liabilities) | 2016-09-30 | $17,423,417 |
| Value of net assets at beginning of year (total assets less liabilities) | 2016-09-30 | $15,216,369 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2016-09-30 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2016-09-30 | No |
| Were any leases to which the plan was party in default or uncollectible | 2016-09-30 | No |
| Value of interest in pooled separate accounts at end of year | 2016-09-30 | $11,390,402 |
| Value of interest in pooled separate accounts at beginning of year | 2016-09-30 | $9,402,396 |
| Interest on participant loans | 2016-09-30 | $7,991 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2016-09-30 | $817,579 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2016-09-30 | $539,084 |
| Net investment gain or loss from common/collective trusts | 2016-09-30 | $1,397,003 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2016-09-30 | No |
| Was there a failure to transmit to the plan any participant contributions | 2016-09-30 | No |
| Has the plan failed to provide any benefit when due under the plan | 2016-09-30 | No |
| Employer contributions (assets) at beginning of year | 2016-09-30 | $700,000 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2016-09-30 | $315,227 |
| Did the plan have assets held for investment | 2016-09-30 | 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 | 2016-09-30 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2016-09-30 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2016-09-30 | No |
| Opinion of an independent qualified public accountant for this plan | 2016-09-30 | Unqualified |
| Accountancy firm name | 2016-09-30 | WEGNER CPAS, LLP |
| Accountancy firm EIN | 2016-09-30 | 390974031 |
| 2015 : KAPUR & ASSOCIATES, INC. 401K SAVINGS PLAN 2015 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2015-09-30 | $0 |
| 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 | $1,109,669 |
| Total loss/gain on sale of assets | 2015-09-30 | $0 |
| Total of all expenses incurred | 2015-09-30 | $781,596 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-09-30 | $726,351 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2015-09-30 | $2,073,925 |
| Value of total assets at end of year | 2015-09-30 | $15,216,333 |
| Value of total assets at beginning of year | 2015-09-30 | $14,888,260 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-09-30 | $55,245 |
| Total interest from all sources | 2015-09-30 | $8,319 |
| 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 year | 2015-09-30 | No |
| Was this plan covered by a fidelity bond | 2015-09-30 | Yes |
| Value of fidelity bond cover | 2015-09-30 | $500,000 |
| If this is an individual account plan, was there a blackout period | 2015-09-30 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2015-09-30 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2015-09-30 | No |
| Contributions received from participants | 2015-09-30 | $891,489 |
| Participant contributions at end of year | 2015-09-30 | $219,880 |
| Participant contributions at beginning of year | 2015-09-30 | $182,070 |
| Participant contributions at end of year | 2015-09-30 | $6,463 |
| Participant contributions at beginning of year | 2015-09-30 | $0 |
| Assets. Other investments not covered elsewhere at end of year | 2015-09-30 | $4,348,546 |
| Assets. Other investments not covered elsewhere at beginning of year | 2015-09-30 | $3,940,434 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2015-09-30 | $482,436 |
| Other income not declared elsewhere | 2015-09-30 | $-344,337 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-09-30 | No |
| Value of net income/loss | 2015-09-30 | $328,073 |
| Value of net assets at end of year (total assets less liabilities) | 2015-09-30 | $15,216,333 |
| Value of net assets at beginning of year (total assets less liabilities) | 2015-09-30 | $14,888,260 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2015-09-30 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2015-09-30 | No |
| Were any leases to which the plan was party in default or uncollectible | 2015-09-30 | No |
| Investment advisory and management fees | 2015-09-30 | $45,268 |
| Value of interest in pooled separate accounts at end of year | 2015-09-30 | $9,402,360 |
| Value of interest in pooled separate accounts at beginning of year | 2015-09-30 | $9,681,117 |
| Interest on participant loans | 2015-09-30 | $8,319 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2015-09-30 | $539,084 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2015-09-30 | $184,639 |
| Net investment gain/loss from pooled separate accounts | 2015-09-30 | $-628,238 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2015-09-30 | No |
| Was there a failure to transmit to the plan any participant contributions | 2015-09-30 | No |
| Has the plan failed to provide any benefit when due under the plan | 2015-09-30 | No |
| Contributions received in cash from employer | 2015-09-30 | $700,000 |
| Employer contributions (assets) at end of year | 2015-09-30 | $700,000 |
| Employer contributions (assets) at beginning of year | 2015-09-30 | $900,000 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-09-30 | $726,351 |
| Contract administrator fees | 2015-09-30 | $9,977 |
| Did the plan have assets held for investment | 2015-09-30 | 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 | 2015-09-30 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2015-09-30 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2015-09-30 | No |
| Opinion of an independent qualified public accountant for this plan | 2015-09-30 | Unqualified |
| Accountancy firm name | 2015-09-30 | WEGNER CPAS, LLP |
| Accountancy firm EIN | 2015-09-30 | 390974031 |
| 2014 : KAPUR & ASSOCIATES, INC. 401K SAVINGS PLAN 2014 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2014-09-30 | $0 |
| 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 | $2,613,613 |
| Total loss/gain on sale of assets | 2014-09-30 | $0 |
| Total of all expenses incurred | 2014-09-30 | $231,618 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-09-30 | $188,412 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2014-09-30 | $1,621,297 |
| Value of total assets at end of year | 2014-09-30 | $14,888,260 |
| Value of total assets at beginning of year | 2014-09-30 | $12,506,265 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-09-30 | $43,206 |
| Total interest from all sources | 2014-09-30 | $5,077 |
| Total dividends received (eg from common stock, registered investment company shares) | 2014-09-30 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2014-09-30 | No |
| Was this plan covered by a fidelity bond | 2014-09-30 | Yes |
| Value of fidelity bond cover | 2014-09-30 | $500,000 |
| If this is an individual account plan, was there a blackout period | 2014-09-30 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2014-09-30 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2014-09-30 | No |
| Contributions received from participants | 2014-09-30 | $704,684 |
| Participant contributions at end of year | 2014-09-30 | $182,070 |
| Participant contributions at beginning of year | 2014-09-30 | $103,075 |
| Participant contributions at end of year | 2014-09-30 | $0 |
| Participant contributions at beginning of year | 2014-09-30 | $18,140 |
| Assets. Other investments not covered elsewhere at end of year | 2014-09-30 | $3,940,434 |
| Assets. Other investments not covered elsewhere at beginning of year | 2014-09-30 | $3,697,783 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2014-09-30 | $16,613 |
| Other income not declared elsewhere | 2014-09-30 | $156,238 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-09-30 | No |
| Value of net income/loss | 2014-09-30 | $2,381,995 |
| Value of net assets at end of year (total assets less liabilities) | 2014-09-30 | $14,888,260 |
| Value of net assets at beginning of year (total assets less liabilities) | 2014-09-30 | $12,506,265 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2014-09-30 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2014-09-30 | No |
| Were any leases to which the plan was party in default or uncollectible | 2014-09-30 | No |
| Investment advisory and management fees | 2014-09-30 | $36,788 |
| Value of interest in pooled separate accounts at end of year | 2014-09-30 | $9,681,117 |
| Value of interest in pooled separate accounts at beginning of year | 2014-09-30 | $7,592,954 |
| Interest on participant loans | 2014-09-30 | $5,077 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2014-09-30 | $184,639 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2014-09-30 | $190,852 |
| Net investment gain/loss from pooled separate accounts | 2014-09-30 | $831,001 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2014-09-30 | No |
| Was there a failure to transmit to the plan any participant contributions | 2014-09-30 | No |
| Has the plan failed to provide any benefit when due under the plan | 2014-09-30 | No |
| Contributions received in cash from employer | 2014-09-30 | $900,000 |
| Employer contributions (assets) at end of year | 2014-09-30 | $900,000 |
| Employer contributions (assets) at beginning of year | 2014-09-30 | $903,461 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-09-30 | $188,412 |
| Contract administrator fees | 2014-09-30 | $6,418 |
| Did the plan have assets held for investment | 2014-09-30 | 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 | 2014-09-30 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2014-09-30 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2014-09-30 | No |
| Opinion of an independent qualified public accountant for this plan | 2014-09-30 | Unqualified |
| Accountancy firm name | 2014-09-30 | WEGNER CPAS, LLP |
| Accountancy firm EIN | 2014-09-30 | 390974031 |
| 2013 : KAPUR & ASSOCIATES, INC. 401K SAVINGS PLAN 2013 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2013-09-30 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-09-30 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-09-30 | $0 |
| Total income from all sources (including contributions) | 2013-09-30 | $2,651,584 |
| Total loss/gain on sale of assets | 2013-09-30 | $0 |
| Total of all expenses incurred | 2013-09-30 | $608,984 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-09-30 | $577,396 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-09-30 | $1,975,290 |
| Value of total assets at end of year | 2013-09-30 | $12,506,265 |
| Value of total assets at beginning of year | 2013-09-30 | $10,463,665 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-09-30 | $31,588 |
| Total interest from all sources | 2013-09-30 | $3,218 |
| Total dividends received (eg from common stock, registered investment company shares) | 2013-09-30 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-09-30 | No |
| Was this plan covered by a fidelity bond | 2013-09-30 | Yes |
| Value of fidelity bond cover | 2013-09-30 | $500,000 |
| If this is an individual account plan, was there a blackout period | 2013-09-30 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2013-09-30 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2013-09-30 | No |
| Contributions received from participants | 2013-09-30 | $613,347 |
| Participant contributions at end of year | 2013-09-30 | $103,075 |
| Participant contributions at beginning of year | 2013-09-30 | $68,469 |
| Participant contributions at end of year | 2013-09-30 | $18,140 |
| Participant contributions at beginning of year | 2013-09-30 | $7,320 |
| Assets. Other investments not covered elsewhere at end of year | 2013-09-30 | $3,697,783 |
| Assets. Other investments not covered elsewhere at beginning of year | 2013-09-30 | $3,473,400 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2013-09-30 | $458,482 |
| Other income not declared elsewhere | 2013-09-30 | $69,881 |
| Total non interest bearing cash at end of year | 2013-09-30 | $0 |
| Total non interest bearing cash at beginning of year | 2013-09-30 | $3,686 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-09-30 | No |
| Value of net income/loss | 2013-09-30 | $2,042,600 |
| Value of net assets at end of year (total assets less liabilities) | 2013-09-30 | $12,506,265 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-09-30 | $10,463,665 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-09-30 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2013-09-30 | No |
| Were any leases to which the plan was party in default or uncollectible | 2013-09-30 | No |
| Investment advisory and management fees | 2013-09-30 | $30,001 |
| Value of interest in pooled separate accounts at end of year | 2013-09-30 | $7,592,954 |
| Value of interest in pooled separate accounts at beginning of year | 2013-09-30 | $6,910,429 |
| Interest on participant loans | 2013-09-30 | $3,218 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2013-09-30 | $190,852 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2013-09-30 | $361 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2013-09-30 | $93,574 |
| Net investment gain/loss from pooled separate accounts | 2013-09-30 | $509,621 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-09-30 | No |
| Was there a failure to transmit to the plan any participant contributions | 2013-09-30 | Yes |
| Has the plan failed to provide any benefit when due under the plan | 2013-09-30 | No |
| Contributions received in cash from employer | 2013-09-30 | $903,461 |
| Employer contributions (assets) at end of year | 2013-09-30 | $903,461 |
| Employer contributions (assets) at beginning of year | 2013-09-30 | $0 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-09-30 | $577,396 |
| Contract administrator fees | 2013-09-30 | $1,587 |
| Did the plan have assets held for investment | 2013-09-30 | 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 | 2013-09-30 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-09-30 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-09-30 | No |
| Opinion of an independent qualified public accountant for this plan | 2013-09-30 | Unqualified |
| Accountancy firm name | 2013-09-30 | WEGNER CPAS, LLP |
| Accountancy firm EIN | 2013-09-30 | 390974031 |
| 2012 : KAPUR & ASSOCIATES, INC. 401K SAVINGS PLAN 2012 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2012-09-30 | $0 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-09-30 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2012-09-30 | $0 |
| Total income from all sources (including contributions) | 2012-09-30 | $1,865,440 |
| Total loss/gain on sale of assets | 2012-09-30 | $0 |
| Total of all expenses incurred | 2012-09-30 | $189,458 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-09-30 | $162,737 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-09-30 | $677,272 |
| Value of total assets at end of year | 2012-09-30 | $10,463,665 |
| Value of total assets at beginning of year | 2012-09-30 | $8,787,683 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-09-30 | $26,721 |
| Total interest from all sources | 2012-09-30 | $2,710 |
| Total dividends received (eg from common stock, registered investment company shares) | 2012-09-30 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-09-30 | No |
| Was this plan covered by a fidelity bond | 2012-09-30 | Yes |
| Value of fidelity bond cover | 2012-09-30 | $500,000 |
| If this is an individual account plan, was there a blackout period | 2012-09-30 | No |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2012-09-30 | $0 |
| Were there any nonexempt tranactions with any party-in-interest | 2012-09-30 | No |
| Contributions received from participants | 2012-09-30 | $608,176 |
| Participant contributions at end of year | 2012-09-30 | $68,469 |
| Participant contributions at beginning of year | 2012-09-30 | $57,639 |
| Participant contributions at end of year | 2012-09-30 | $7,320 |
| Participant contributions at beginning of year | 2012-09-30 | $3,000 |
| Assets. Other investments not covered elsewhere at end of year | 2012-09-30 | $3,473,400 |
| Assets. Other investments not covered elsewhere at beginning of year | 2012-09-30 | $2,979,075 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2012-09-30 | $69,096 |
| Other income not declared elsewhere | 2012-09-30 | $212,650 |
| Total non interest bearing cash at end of year | 2012-09-30 | $3,686 |
| Total non interest bearing cash at beginning of year | 2012-09-30 | $5,079 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-09-30 | No |
| Value of net income/loss | 2012-09-30 | $1,675,982 |
| Value of net assets at end of year (total assets less liabilities) | 2012-09-30 | $10,463,665 |
| Value of net assets at beginning of year (total assets less liabilities) | 2012-09-30 | $8,787,683 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-09-30 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2012-09-30 | No |
| Were any leases to which the plan was party in default or uncollectible | 2012-09-30 | No |
| Investment advisory and management fees | 2012-09-30 | $612 |
| Value of interest in pooled separate accounts at end of year | 2012-09-30 | $6,910,429 |
| Value of interest in pooled separate accounts at beginning of year | 2012-09-30 | $5,742,576 |
| Interest on participant loans | 2012-09-30 | $2,710 |
| Value of funds held in insurance company general accounts (unallocated contracts) at end of year | 2012-09-30 | $361 |
| Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year | 2012-09-30 | $314 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2012-09-30 | $972,808 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-09-30 | No |
| Was there a failure to transmit to the plan any participant contributions | 2012-09-30 | Yes |
| Has the plan failed to provide any benefit when due under the plan | 2012-09-30 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-09-30 | $162,737 |
| Contract administrator fees | 2012-09-30 | $26,109 |
| Did the plan have assets held for investment | 2012-09-30 | 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 | 2012-09-30 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-09-30 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-09-30 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2012-09-30 | Disclaimer |
| Accountancy firm name | 2012-09-30 | WEGNER CPAS, LLP |
| Accountancy firm EIN | 2012-09-30 | 390974031 |
| THE OHIO NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67172 ) |
| Policy contract number | E1824215 |
| Policy instance | 3 |
| Insurance contract or identification number | E1824215 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2021-10-01 | | Insurance policy end date | 2022-09-30 | | Total amount of commissions paid to insurance broker | USD $1,729 | | 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? | 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 $1,729 | | Insurance broker organization code? | 3 |
|
| METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 ) |
| Policy contract number | 3203483688 |
| Policy instance | 2 |
| Insurance contract or identification number | 3203483688 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2021-10-01 | | Insurance policy end date | 2022-09-30 | | Total amount of commissions paid to insurance broker | USD $4,752 | | 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? | 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 $4,752 | | Insurance broker organization code? | 3 |
|
| JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 ) |
| Policy contract number | 1007531830 |
| Policy instance | 1 |
| Insurance contract or identification number | 1007531830 | | Number of Individuals Covered | 4 | | Insurance policy start date | 2021-10-01 | | Insurance policy end date | 2022-09-30 | | Total amount of commissions paid to insurance broker | USD $16,819 | | 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? | 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 $16,819 | | Insurance broker organization code? | 3 |
|
| JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 ) |
| Policy contract number | 1007531830 |
| Policy instance | 1 |
| Insurance contract or identification number | 1007531830 | | Number of Individuals Covered | 4 | | Insurance policy start date | 2020-10-01 | | Insurance policy end date | 2021-09-30 | | Total amount of commissions paid to insurance broker | USD $17,413 | | 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? | 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 $17,413 | | Insurance broker organization code? | 3 |
|
| METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 ) |
| Policy contract number | 3203483688 |
| Policy instance | 2 |
| Insurance contract or identification number | 3203483688 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2020-10-01 | | Insurance policy end date | 2021-09-30 | | Total amount of commissions paid to insurance broker | USD $1,149 | | 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? | 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 $1,149 | | Insurance broker organization code? | 3 |
|
| THE OHIO NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67172 ) |
| Policy contract number | E1824215 |
| Policy instance | 3 |
| Insurance contract or identification number | E1824215 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2020-10-01 | | Insurance policy end date | 2021-09-30 | | Total amount of commissions paid to insurance broker | USD $762 | | 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? | 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 $762 | | Insurance broker organization code? | 3 |
|
| THE OHIO NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67172 ) |
| Policy contract number | E1824215 |
| Policy instance | 3 |
| Insurance contract or identification number | E1824215 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2019-10-01 | | Insurance policy end date | 2020-09-30 | | 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? | 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 $0 | | Insurance broker organization code? | 3 |
|
| JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 ) |
| Policy contract number | 1007531830 |
| Policy instance | 1 |
| Insurance contract or identification number | 1007531830 | | Number of Individuals Covered | 4 | | Insurance policy start date | 2019-10-01 | | Insurance policy end date | 2020-09-30 | | Total amount of commissions paid to insurance broker | USD $15,152 | | 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? | 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 $15,152 | | Insurance broker organization code? | 3 |
|
| METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 ) |
| Policy contract number | 3203483688 |
| Policy instance | 2 |
| Insurance contract or identification number | 3203483688 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2019-10-01 | | Insurance policy end date | 2020-09-30 | | 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? | 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? | Yes |
|
| METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 ) |
| Policy contract number | 3203483688 |
| Policy instance | 3 |
| Insurance contract or identification number | 3203483688 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2018-10-01 | | Insurance policy end date | 2019-09-30 | | 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? | 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? | Yes |
|
| AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 ) |
| Policy contract number | 306663730 |
| Policy instance | 1 |
| Insurance contract or identification number | 306663730 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2018-10-01 | | Insurance policy end date | 2019-09-30 | | Total amount of commissions paid to insurance broker | USD $1,616 | | 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? | 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 $1,616 | | Insurance broker organization code? | 3 |
|
| JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 ) |
| Policy contract number | 1007531830 |
| Policy instance | 2 |
| Insurance contract or identification number | 1007531830 | | Number of Individuals Covered | 6 | | Insurance policy start date | 2018-10-01 | | Insurance policy end date | 2019-09-30 | | Total amount of commissions paid to insurance broker | USD $14,887 | | 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? | 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 $14,887 | | Insurance broker organization code? | 3 |
|
| THE OHIO NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67172 ) |
| Policy contract number | E1824215 |
| Policy instance | 4 |
| Insurance contract or identification number | E1824215 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2018-10-01 | | Insurance policy end date | 2019-09-30 | | Total amount of commissions paid to insurance broker | USD $524 | | 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? | 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 $524 | | Insurance broker organization code? | 3 |
|
| METLIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 87726 ) |
| Policy contract number | 3203483688 |
| Policy instance | 4 |
| Insurance contract or identification number | 3203483688 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2017-10-01 | | Insurance policy end date | 2018-09-30 | | 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? | 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? | Yes |
|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 2551157 |
| Policy instance | 1 |
| Insurance contract or identification number | 2551157 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2017-10-01 | | Insurance policy end date | 2018-09-30 | | Total amount of commissions paid to insurance broker | USD $2,051 | | 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? | 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 |
|
| JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 ) |
| Policy contract number | 1007531830 |
| Policy instance | 3 |
| Insurance contract or identification number | 1007531830 | | Number of Individuals Covered | 6 | | Insurance policy start date | 2017-10-01 | | Insurance policy end date | 2018-09-30 | | Total amount of commissions paid to insurance broker | USD $17,301 | | 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? | 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 |
|
| AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 ) |
| Policy contract number | 306663730 |
| Policy instance | 2 |
| Insurance contract or identification number | 306663730 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2017-10-01 | | Insurance policy end date | 2018-09-30 | | Total amount of commissions paid to insurance broker | USD $1,616 | | 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? | 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 |
|
| THE OHIO NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67172 ) |
| Policy contract number | E1824215 |
| Policy instance | 5 |
| Insurance contract or identification number | E1824215 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2017-10-01 | | Insurance policy end date | 2018-09-30 | | Total amount of commissions paid to insurance broker | USD $2,114 | | 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? | 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 |
|
| JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 ) |
| Policy contract number | 1007531830 |
| Policy instance | 3 |
| Insurance contract or identification number | 1007531830 | | Number of Individuals Covered | 5 | | Insurance policy start date | 2014-10-01 | | Insurance policy end date | 2015-09-30 | | Total amount of commissions paid to insurance broker | USD $40,852 | | Total amount of fees paid to insurance company | USD $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 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 $40,852 | | Insurance broker organization code? | 3 | | Insurance broker name | JEFFREY A LABRI |
|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 2557142 |
| Policy instance | 1 |
| Insurance contract or identification number | 2557142 | | Number of Individuals Covered | 2 | | Insurance policy start date | 2014-10-01 | | Insurance policy end date | 2015-09-30 | | Total amount of commissions paid to insurance broker | USD $8,359 | | Total amount of fees paid to insurance company | USD $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 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 $8,359 | | Insurance broker organization code? | 3 | | Insurance broker name | JEFFREY A LABRI |
|
| AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 ) |
| Policy contract number | 306648625 |
| Policy instance | 2 |
| Insurance contract or identification number | 306648625 | | Number of Individuals Covered | 2 | | Insurance policy start date | 2014-10-01 | | Insurance policy end date | 2015-09-30 | | Total amount of commissions paid to insurance broker | USD $3,371 | | Total amount of fees paid to insurance company | USD $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 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 $2,961 | | Insurance broker organization code? | 3 | | Insurance broker name | JENNIFER SANFILLIPPO |
|
| TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 ) |
| Policy contract number | 803884-000 |
| Policy instance | 6 |
| Insurance contract or identification number | 803884-000 | | Number of Individuals Covered | 190 | | Insurance policy start date | 2014-10-01 | | Insurance policy end date | 2015-09-30 | | Total amount of commissions paid to insurance broker | USD $36,202 | | Total amount of fees paid to insurance company | USD $3,073 | | 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 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 $36,202 | | Insurance broker organization code? | 3 | | Amount paid for insurance broker fees | 1557 | | Additional information about fees paid to insurance broker | TPA FEES | | Insurance broker name | KOLB & CO RETIREMENT PLAN SVC, LLC |
|
| METLIFE INVESTORS USA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61050 ) |
| Policy contract number | 3203483688 |
| Policy instance | 4 |
| Insurance contract or identification number | 3203483688 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2014-10-01 | | Insurance policy end date | 2015-09-30 | | 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? | 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 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? | Yes | | Insurance broker name | INFORMATION NOT PROVIDED |
|
| THE OHIO NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67172 ) |
| Policy contract number | E1822141 |
| Policy instance | 5 |
| Insurance contract or identification number | E1822141 | | Number of Individuals Covered | 3 | | Insurance policy start date | 2014-10-01 | | Insurance policy end date | 2015-09-30 | | Total amount of commissions paid to insurance broker | USD $11,560 | | Total amount of fees paid to insurance company | USD $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 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 $11,560 | | Insurance broker organization code? | 3 | | Insurance broker name | J LABRI,J SANFILLIPPO |
|
| TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 ) |
| Policy contract number | 803884-000 |
| Policy instance | 6 |
| Insurance contract or identification number | 803884-000 | | Number of Individuals Covered | 167 | | Insurance policy start date | 2013-10-01 | | Insurance policy end date | 2014-09-30 | | Total amount of commissions paid to insurance broker | USD $36,295 | | Total amount of fees paid to insurance company | USD $3,360 | | 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 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 $36,295 | | Insurance broker organization code? | 3 | | Amount paid for insurance broker fees | 3360 | | Additional information about fees paid to insurance broker | TPA FEES | | Insurance broker name | KOLB & CO RETIREMENT PLAN SVC, LLC |
|
| THE OHIO NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67172 ) |
| Policy contract number | E1822141 |
| Policy instance | 5 |
| Insurance contract or identification number | E1822141 | | Number of Individuals Covered | 3 | | Insurance policy start date | 2013-10-01 | | Insurance policy end date | 2014-09-30 | | Total amount of commissions paid to insurance broker | USD $12,775 | | Total amount of fees paid to insurance company | USD $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 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 $12,775 | | Insurance broker organization code? | 3 | | Insurance broker name | J LABRI,J SANFILLIPPO |
|
| JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 ) |
| Policy contract number | 1007531830 |
| Policy instance | 3 |
| Insurance contract or identification number | 1007531830 | | Number of Individuals Covered | 2 | | Insurance policy start date | 2013-10-01 | | Insurance policy end date | 2014-09-30 | | 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? | 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 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 $0 | | Insurance broker organization code? | 3 | | Insurance broker name | JEFFREY A LABRI |
|
| AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 ) |
| Policy contract number | 306648625 |
| Policy instance | 2 |
| Insurance contract or identification number | 306648625 | | Number of Individuals Covered | 2 | | Insurance policy start date | 2013-10-01 | | Insurance policy end date | 2014-09-30 | | Total amount of commissions paid to insurance broker | USD $3,373 | | Total amount of fees paid to insurance company | USD $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 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 $3,373 | | Insurance broker organization code? | 3 | | Insurance broker name | JEFFREY LA BRI |
|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 2557142 |
| Policy instance | 1 |
| Insurance contract or identification number | 2557142 | | Number of Individuals Covered | 2 | | Insurance policy start date | 2013-10-01 | | Insurance policy end date | 2014-09-30 | | Total amount of commissions paid to insurance broker | USD $7,424 | | Total amount of fees paid to insurance company | USD $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 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 $7,424 | | Insurance broker organization code? | 3 | | Insurance broker name | JEFFREY A LABRI |
|
| METLIFE INVESTORS USA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61050 ) |
| Policy contract number | 3203483688 |
| Policy instance | 4 |
| Insurance contract or identification number | 3203483688 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2013-10-01 | | Insurance policy end date | 2014-09-30 | | 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? | 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 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? | Yes | | Insurance broker name | INFORMATION NOT PROVIDED |
|
| TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 ) |
| Policy contract number | 803884-000 |
| Policy instance | 7 |
| Insurance contract or identification number | 803884-000 | | Number of Individuals Covered | 123 | | Insurance policy start date | 2012-10-01 | | Insurance policy end date | 2013-09-30 | | Total amount of commissions paid to insurance broker | USD $45,421 | | Total amount of fees paid to insurance company | USD $5,009 | | 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 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 $45,421 | | Insurance broker organization code? | 3 | | Amount paid for insurance broker fees | 5009 | | Additional information about fees paid to insurance broker | TPA FEES | | Insurance broker name | KOLB & CO RETIREMENT PLAN SVC, LLC |
|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 17917 |
| Policy instance | 1 |
| Insurance contract or identification number | 17917 | | Number of Individuals Covered | 0 | | Insurance policy start date | 2012-10-01 | | Insurance policy end date | 2013-01-14 | | Total amount of commissions paid to insurance broker | USD $4,621 | | Total amount of fees paid to insurance company | USD $200 | | 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 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? | Yes | | 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 $4,621 | | Insurance broker organization code? | 3 | | Amount paid for insurance broker fees | 200 | | Additional information about fees paid to insurance broker | TPA FEES | | Insurance broker name | KOLB & CO |
|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 2557142 |
| Policy instance | 2 |
| Insurance contract or identification number | 2557142 | | Number of Individuals Covered | 3 | | Insurance policy start date | 2012-10-01 | | Insurance policy end date | 2013-09-30 | | Total amount of commissions paid to insurance broker | USD $12,538 | | Total amount of fees paid to insurance company | USD $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 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 $12,538 | | Insurance broker organization code? | 3 | | Insurance broker name | JEFFREY A LABRI |
|
| AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 ) |
| Policy contract number | 306648625 |
| Policy instance | 3 |
| Insurance contract or identification number | 306648625 | | Number of Individuals Covered | 2 | | Insurance policy start date | 2012-10-01 | | Insurance policy end date | 2013-09-30 | | Total amount of commissions paid to insurance broker | USD $3,490 | | Total amount of fees paid to insurance company | USD $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 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 $3,490 | | Insurance broker organization code? | 3 | | Insurance broker name | JEFFREY LA BRI |
|
| JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 ) |
| Policy contract number | 1007531830 |
| Policy instance | 4 |
| Insurance contract or identification number | 1007531830 | | Number of Individuals Covered | 2 | | Insurance policy start date | 2012-10-01 | | Insurance policy end date | 2013-09-30 | | Total amount of commissions paid to insurance broker | USD $37,427 | | Total amount of fees paid to insurance company | USD $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 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 $37,427 | | Insurance broker organization code? | 3 | | Insurance broker name | JEFFREY A LABRI |
|
| METLIFE INVESTORS USA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61050 ) |
| Policy contract number | 3203483688 |
| Policy instance | 5 |
| Insurance contract or identification number | 3203483688 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2012-10-01 | | Insurance policy end date | 2013-09-30 | | 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? | 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 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? | Yes | | Insurance broker name | INFORMATION NOT PROVIDED |
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| THE OHIO NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67172 ) |
| Policy contract number | E1822141 |
| Policy instance | 6 |
| Insurance contract or identification number | E1822141 | | Number of Individuals Covered | 3 | | Insurance policy start date | 2012-10-01 | | Insurance policy end date | 2013-09-30 | | Total amount of commissions paid to insurance broker | USD $7,381 | | Total amount of fees paid to insurance company | USD $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 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 $7,381 | | Insurance broker organization code? | 3 | | Insurance broker name | R HOLTON,J LABRI,J SANFILLIPPO |
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| AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 ) |
| Policy contract number | 306648625 |
| Policy instance | 3 |
| Insurance contract or identification number | 306648625 | | Number of Individuals Covered | 2 | | Insurance policy start date | 2011-10-01 | | Insurance policy end date | 2012-09-30 | | Total amount of commissions paid to insurance broker | USD $3,478 | | Total amount of fees paid to insurance company | USD $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 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 |
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| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 2557142 |
| Policy instance | 2 |
| Insurance contract or identification number | 2557142 | | Number of Individuals Covered | 3 | | Insurance policy start date | 2011-10-01 | | Insurance policy end date | 2012-09-30 | | Total amount of commissions paid to insurance broker | USD $10,149 | | Total amount of fees paid to insurance company | USD $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 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 |
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| JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 ) |
| Policy contract number | 1007531830 |
| Policy instance | 4 |
| Insurance contract or identification number | 1007531830 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2011-10-01 | | Insurance policy end date | 2012-09-30 | | Total amount of commissions paid to insurance broker | USD $797 | | Total amount of fees paid to insurance company | USD $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 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 |
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| METLIFE INVESTORS USA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61050 ) |
| Policy contract number | 3203483688 |
| Policy instance | 5 |
| Insurance contract or identification number | 3203483688 | | Number of Individuals Covered | 1 | | Insurance policy start date | 2011-10-01 | | Insurance policy end date | 2012-09-30 | | 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? | 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 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? | Yes |
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| THE OHIO NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67172 ) |
| Policy contract number | E1822141 |
| Policy instance | 6 |
| Insurance contract or identification number | E1822141 | | Number of Individuals Covered | 3 | | Insurance policy start date | 2011-10-01 | | Insurance policy end date | 2012-09-30 | | Total amount of commissions paid to insurance broker | USD $3,356 | | Total amount of fees paid to insurance company | USD $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 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 |
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| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 17917 |
| Policy instance | 1 |
| Insurance contract or identification number | 17917 | | Number of Individuals Covered | 115 | | Insurance policy start date | 2011-10-01 | | Insurance policy end date | 2012-09-30 | | Total amount of commissions paid to insurance broker | USD $28,179 | | Total amount of fees paid to insurance company | USD $3,208 | | 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 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? | Yes | | 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 |
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