401k Plan data: STERN & EISENBERG, PC 401(K) PLAN plan

STERN & EISENBERG, PC 401(K) PLAN 401k Plan overview

Plan Name	STERN & EISENBERG, PC 401(K) PLAN
Plan identification number	001

STERN & EISENBERG, PC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

STERN & EISENBERG, PC has sponsored the creation of one or more 401k plans.

Company Name: STERN & EISENBERG, PC

Employer identification number (EIN): 451578526

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STERN & EISENBERG, PC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 STEVEN EISENBERG 2023-09-25 STEVEN EISENBERG 2023-09-25
001 2021-01-01 STEVEN EISENBERG 2022-10-09 STEVEN EISENBERG 2022-10-09
001 2020-01-01 STEVEN EISENBERG 2021-09-27 STEVEN EISENBERG 2021-09-27
001 2019-01-01 STEVEN EISENBERG 2020-10-01 STEVEN EISENBERG 2020-10-01
001 2018-01-01 STEVEN EISENBERG 2019-10-03 STEVEN EISENBERG 2019-10-03
001 2017-01-01
001 2016-01-01 LINDA KRISTEKAS 2017-06-21
001 2015-01-01 KATHLEEN M. ROESING 2016-05-18
001 2014-01-01 KATHLEEN ROESING 2015-06-17
001 2013-01-01 LORI MCCAUL 2014-07-09
001 2012-01-01 LORI MCCAUL 2013-07-29
001 2011-01-01 STEVEN EISENBERG

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	STEVEN EISENBERG	2023-09-25	STEVEN EISENBERG	2023-09-25
001	2021-01-01	STEVEN EISENBERG	2022-10-09	STEVEN EISENBERG	2022-10-09
001	2020-01-01	STEVEN EISENBERG	2021-09-27	STEVEN EISENBERG	2021-09-27
001	2019-01-01	STEVEN EISENBERG	2020-10-01	STEVEN EISENBERG	2020-10-01
001	2018-01-01	STEVEN EISENBERG	2019-10-03	STEVEN EISENBERG	2019-10-03
001	2017-01-01
001	2016-01-01	LINDA KRISTEKAS	2017-06-21
001	2015-01-01	KATHLEEN M. ROESING	2016-05-18
001	2014-01-01	KATHLEEN ROESING	2015-06-17
001	2013-01-01	LORI MCCAUL	2014-07-09
001	2012-01-01	LORI MCCAUL	2013-07-29
001	2011-01-01	STEVEN EISENBERG

Plan Statistics for STERN & EISENBERG, PC 401(K) PLAN

401k plan membership statisitcs for STERN & EISENBERG, PC 401(K) PLAN

Measure Date Value
2022: STERN & EISENBERG, PC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 151
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 109
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 46
Total of all active and inactive participants 2022-01-01 155
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 155
Number of participants with account balances 2022-01-01 112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 7
2021: STERN & EISENBERG, PC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 151
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 107
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 41
Total of all active and inactive participants 2021-01-01 148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 148
Number of participants with account balances 2021-01-01 114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 6
2020: STERN & EISENBERG, PC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 212
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 87
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 64
Total of all active and inactive participants 2020-01-01 151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 151
Number of participants with account balances 2020-01-01 127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 31
2019: STERN & EISENBERG, PC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 209
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 146
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 48
Total of all active and inactive participants 2019-01-01 194
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 194
Number of participants with account balances 2019-01-01 149
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: STERN & EISENBERG, PC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 189
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 173
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 29
Total of all active and inactive participants 2018-01-01 202
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 202
Number of participants with account balances 2018-01-01 131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: STERN & EISENBERG, PC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 185
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 168
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 19
Total of all active and inactive participants 2017-01-01 187
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 187
Number of participants with account balances 2017-01-01 117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2011: STERN & EISENBERG, PC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 12
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 12
Number of other retired or separated participants entitled to future benefits 2011-01-01 1
Total of all active and inactive participants 2011-01-01 13
Total participants 2011-01-01 13
Number of participants with account balances 2011-01-01 12

Measure	Date	Value
2022: STERN & EISENBERG, PC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	151
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	109
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	46
Total of all active and inactive participants	2022-01-01	155
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	155
Number of participants with account balances	2022-01-01	112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	7
2021: STERN & EISENBERG, PC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	151
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	107
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	41
Total of all active and inactive participants	2021-01-01	148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	148
Number of participants with account balances	2021-01-01	114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	6
2020: STERN & EISENBERG, PC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	212
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	87
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	64
Total of all active and inactive participants	2020-01-01	151
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	151
Number of participants with account balances	2020-01-01	127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	31
2019: STERN & EISENBERG, PC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	209
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	146
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	48
Total of all active and inactive participants	2019-01-01	194
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	194
Number of participants with account balances	2019-01-01	149
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: STERN & EISENBERG, PC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	189
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	173
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	29
Total of all active and inactive participants	2018-01-01	202
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	202
Number of participants with account balances	2018-01-01	131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: STERN & EISENBERG, PC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	185
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	168
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	19
Total of all active and inactive participants	2017-01-01	187
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	187
Number of participants with account balances	2017-01-01	117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2011: STERN & EISENBERG, PC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	12
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	12
Number of other retired or separated participants entitled to future benefits	2011-01-01	1
Total of all active and inactive participants	2011-01-01	13
Total participants	2011-01-01	13
Number of participants with account balances	2011-01-01	12

Financial Data on STERN & EISENBERG, PC 401(K) PLAN

Measure	Date	Value
2022 : STERN & EISENBERG, PC 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$-323,219
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$419,540
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$379,984
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$602,747
Value of total assets at end of year	2022-12-31	$4,365,912
Value of total assets at beginning of year	2022-12-31	$5,108,671
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$39,556
Total interest from all sources	2022-12-31	$9,041
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$394,298
Participant contributions at end of year	2022-12-31	$60,721
Participant contributions at beginning of year	2022-12-31	$70,589
Participant contributions at end of year	2022-12-31	$13,761
Value of other receiveables (less allowance for doubtful accounts) at end of year	2022-12-31	$153
Other income not declared elsewhere	2022-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-742,759
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$4,365,912
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$5,108,671
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Investment advisory and management fees	2022-12-31	$22,842
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$868,492
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$982,605
Interest on participant loans	2022-12-31	$3,307
Interest earned on other investments	2022-12-31	$5,604
Value of interest in common/collective trusts at end of year	2022-12-31	$3,030,606
Value of interest in common/collective trusts at beginning of year	2022-12-31	$3,745,300
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2022-12-31	$130
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-12-31	$385,253
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-12-31	$310,177
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-187,037
Net investment gain or loss from common/collective trusts	2022-12-31	$-747,970
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$208,449
Employer contributions (assets) at end of year	2022-12-31	$6,926
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$379,984
Contract administrator fees	2022-12-31	$16,714
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	TORRILLO & ASSOCIATES, LLC
Accountancy firm EIN	2022-12-31	830414789
2021 : STERN & EISENBERG, PC 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$1,237
Total income from all sources (including contributions)	2021-12-31	$1,168,681
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$384,374
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$335,319
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$527,199
Value of total assets at end of year	2021-12-31	$5,108,671
Value of total assets at beginning of year	2021-12-31	$4,325,601
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$49,055
Total interest from all sources	2021-12-31	$8,975
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$343,793
Participant contributions at end of year	2021-12-31	$70,589
Participant contributions at beginning of year	2021-12-31	$81,511
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$4,367
Liabilities. Value of operating payables at beginning of year	2021-12-31	$1,237
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$784,307
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$5,108,671
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$4,324,364
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Investment advisory and management fees	2021-12-31	$23,738
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$982,605
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$4,162,790
Interest on participant loans	2021-12-31	$6,194
Interest earned on other investments	2021-12-31	$2,781
Value of interest in common/collective trusts at end of year	2021-12-31	$3,745,300
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-12-31	$310,177
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-12-31	$81,300
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$233,738
Net investment gain or loss from common/collective trusts	2021-12-31	$398,769
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$179,039
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$335,319
Contract administrator fees	2021-12-31	$25,317
Liabilities. Value of benefit claims payable at beginning of year	2021-12-31	$0
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	TORRILLO & ASSOCIATES, LLC
Accountancy firm EIN	2021-12-31	830414789
2020 : STERN & EISENBERG, PC 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$1,237
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$1,707
Total income from all sources (including contributions)	2020-12-31	$1,134,969
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$434,589
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$392,714
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$526,030
Value of total assets at end of year	2020-12-31	$4,325,601
Value of total assets at beginning of year	2020-12-31	$3,625,691
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$41,875
Total interest from all sources	2020-12-31	$5,315
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$370,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$338,880
Participant contributions at end of year	2020-12-31	$81,511
Participant contributions at beginning of year	2020-12-31	$110,891
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$7,903
Liabilities. Value of operating payables at end of year	2020-12-31	$1,237
Liabilities. Value of operating payables at beginning of year	2020-12-31	$1,707
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$700,380
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$4,324,364
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$3,623,984
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Investment advisory and management fees	2020-12-31	$17,526
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$4,162,790
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$3,435,952
Interest on participant loans	2020-12-31	$4,147
Interest earned on other investments	2020-12-31	$1,168
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$81,300
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$78,598
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$603,624
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$179,247
Employer contributions (assets) at beginning of year	2020-12-31	$250
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$392,714
Contract administrator fees	2020-12-31	$24,349
Liabilities. Value of benefit claims payable at end of year	2020-12-31	$0
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	TORRILLO & ASSOCIATES, INC.
Accountancy firm EIN	2020-12-31	830414789
2019 : STERN & EISENBERG, PC 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$1,707
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$76
Total income from all sources (including contributions)	2019-12-31	$1,437,492
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$519,120
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$486,685
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$799,210
Value of total assets at end of year	2019-12-31	$3,625,691
Value of total assets at beginning of year	2019-12-31	$2,705,688
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$32,435
Total interest from all sources	2019-12-31	$6,134
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$350,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$477,250
Participant contributions at end of year	2019-12-31	$110,891
Participant contributions at beginning of year	2019-12-31	$106,943
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$40,777
Liabilities. Value of operating payables at end of year	2019-12-31	$1,707
Liabilities. Value of operating payables at beginning of year	2019-12-31	$76
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$918,372
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$3,623,984
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$2,705,612
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$3,435,952
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$2,507,794
Interest on participant loans	2019-12-31	$6,134
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$78,598
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$90,951
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$632,148
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$281,183
Employer contributions (assets) at end of year	2019-12-31	$250
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$486,685
Contract administrator fees	2019-12-31	$32,435
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	TORRILLO & ASSOCIATES, LLC
Accountancy firm EIN	2019-12-31	830414789
2018 : STERN & EISENBERG, PC 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$76
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$367
Total income from all sources (including contributions)	2018-12-31	$640,457
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$231,229
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$204,271
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$846,173
Value of total assets at end of year	2018-12-31	$2,705,688
Value of total assets at beginning of year	2018-12-31	$2,296,751
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$26,958
Total interest from all sources	2018-12-31	$5,699
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$200,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$485,608
Participant contributions at end of year	2018-12-31	$106,943
Participant contributions at beginning of year	2018-12-31	$50,233
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$103,673
Liabilities. Value of operating payables at end of year	2018-12-31	$76
Liabilities. Value of operating payables at beginning of year	2018-12-31	$367
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$409,228
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$2,705,612
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$2,296,384
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$2,507,794
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$2,110,899
Interest on participant loans	2018-12-31	$4,011
Interest earned on other investments	2018-12-31	$1,688
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$90,951
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$135,619
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-211,415
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$256,892
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$204,271
Contract administrator fees	2018-12-31	$26,958
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	TORRILLO & ASSOCIATES LLC
Accountancy firm EIN	2018-12-31	830414789
2017 : STERN & EISENBERG, PC 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$367
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$1,073,927
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$205,865
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$193,543
Expenses. Certain deemed distributions of participant loans	2017-12-31	$7,751
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$788,235
Value of total assets at end of year	2017-12-31	$2,296,751
Value of total assets at beginning of year	2017-12-31	$1,428,322
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$4,571
Total interest from all sources	2017-12-31	$5,013
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$200,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$392,746
Participant contributions at end of year	2017-12-31	$50,233
Participant contributions at beginning of year	2017-12-31	$34,513
Participant contributions at beginning of year	2017-12-31	$2,467
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$176,606
Administrative expenses (other) incurred	2017-12-31	$4,571
Liabilities. Value of operating payables at end of year	2017-12-31	$367
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$868,062
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$2,296,384
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$1,428,322
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$2,246,518
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$1,389,560
Interest on participant loans	2017-12-31	$2,605
Interest earned on other investments	2017-12-31	$2,408
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$280,679
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$218,883
Employer contributions (assets) at beginning of year	2017-12-31	$1,782
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$193,543
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	TORRILLO & ASSOCIATES
Accountancy firm EIN	2017-12-31	830414789
2011 : STERN & EISENBERG, PC 401(K) PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$-2,151,633
Total income from all sources	2011-12-31	$140,613
Total plan assets at end of year	2011-12-31	$201,336
Total plan assets at beginning of year	2011-12-31	$2,212,356
Total contributions received or receivable from participants	2011-12-31	$126,523
Other income received	2011-12-31	$3,909
Net income (gross income less expenses)	2011-12-31	$140,613
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$201,336
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,212,356
Total contributions received or receivable from employer(s)	2011-12-31	$10,181

Form 5500 Responses for STERN & EISENBERG, PC 401(K) PLAN

2022: STERN & EISENBERG, PC 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement – Insurance	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: STERN & EISENBERG, PC 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement – Insurance	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: STERN & EISENBERG, PC 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: STERN & EISENBERG, PC 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: STERN & EISENBERG, PC 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: STERN & EISENBERG, PC 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2011: STERN & EISENBERG, PC 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-CP-HU3M

Policy instance

Insurance contract or identification number	GAP-CP-HU3M
Number of Individuals Covered	112
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	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

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-CP-HU3M

Policy instance

Insurance contract or identification number	GAP-CP-HU3M
Number of Individuals Covered	114
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	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

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-CP-HU3M

Policy instance

Insurance contract or identification number	GAP-CP-HU3M
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	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

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-CP-HU3M

Policy instance

Insurance contract or identification number	GAP-CP-HU3M
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $444
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?	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
Commission paid to Insurance Broker	USD $444
Insurance broker organization code?	4

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-CP-HU3M

Policy instance

Insurance contract or identification number	GAP-CP-HU3M
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $565
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?	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
Commission paid to Insurance Broker	USD $565
Insurance broker organization code?	4

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-CP-HU3M

Policy instance

Insurance contract or identification number	GAP-CP-HU3M
Number of Individuals Covered	13
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $716
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?	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
Commission paid to Insurance Broker	USD $716
Insurance broker organization code?	4
Insurance broker name	RAYMOND JAMES & ASSOC, INC

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Company Name:	STERN & EISENBERG, PC
Employer identification number (EIN):	451578526
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers