401k Plan data: GORIS FINANCIAL GROUP, INC. 401(K) PLAN plan

GORIS FINANCIAL GROUP, INC. 401(K) PLAN 401k Plan overview

Plan Name	GORIS FINANCIAL GROUP, INC. 401(K) PLAN
Plan identification number	001

GORIS FINANCIAL GROUP, INC. 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

GORIS FINANCIAL GROUP, INC. has sponsored the creation of one or more 401k plans.

Company Name: GORIS FINANCIAL GROUP, INC.

Employer identification number (EIN): 454957569

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Form 5500 Filing Information

Submission information for form 5500 for 401k plan GORIS FINANCIAL GROUP, INC. 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 THOMAS E GORIS JR 2023-10-15 THOMAS E GORIS JR 2023-10-15
001 2021-01-01 THOMAS E GORIS JR 2022-10-13 THOMAS E GORIS JR 2022-10-13
001 2020-01-01 THOMAS GORIS 2021-10-11 THOMAS GORIS 2021-10-11
001 2019-01-01 THOMAS GORIS 2020-10-12 THOMAS GORIS 2020-10-12
001 2018-01-01 THOMAS GORIS 2019-08-29 THOMAS GORIS 2019-08-29
001 2017-01-01 THOMAS GORIS 2018-04-17 THOMAS GORIS 2018-04-17
001 2016-01-01 THOMAS GORIS 2017-01-20 THOMAS GORIS 2017-01-20
001 2015-01-01 THOMAS GORIS 2016-09-16 THOMAS GORIS 2016-09-16
001 2014-01-01 THOMAS E GORIS 2015-10-12 THOMAS E GORIS 2015-10-12
001 2013-01-01 THOMAS GORIS 2014-07-18 THOMAS GORIS 2014-07-18
001 2012-06-01 THOMAS GORIS THOMAS GORIS 2013-05-24

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	THOMAS E GORIS JR	2023-10-15	THOMAS E GORIS JR	2023-10-15
001	2021-01-01	THOMAS E GORIS JR	2022-10-13	THOMAS E GORIS JR	2022-10-13
001	2020-01-01	THOMAS GORIS	2021-10-11	THOMAS GORIS	2021-10-11
001	2019-01-01	THOMAS GORIS	2020-10-12	THOMAS GORIS	2020-10-12
001	2018-01-01	THOMAS GORIS	2019-08-29	THOMAS GORIS	2019-08-29
001	2017-01-01	THOMAS GORIS	2018-04-17	THOMAS GORIS	2018-04-17
001	2016-01-01	THOMAS GORIS	2017-01-20	THOMAS GORIS	2017-01-20
001	2015-01-01	THOMAS GORIS	2016-09-16	THOMAS GORIS	2016-09-16
001	2014-01-01	THOMAS E GORIS	2015-10-12	THOMAS E GORIS	2015-10-12
001	2013-01-01	THOMAS GORIS	2014-07-18	THOMAS GORIS	2014-07-18
001	2012-06-01	THOMAS GORIS		THOMAS GORIS	2013-05-24

Plan Statistics for GORIS FINANCIAL GROUP, INC. 401(K) PLAN

401k plan membership statisitcs for GORIS FINANCIAL GROUP, INC. 401(K) PLAN

Measure Date Value
2012: GORIS FINANCIAL GROUP, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-06-01 23
Total number of active participants reported on line 7a of the Form 5500 2012-06-01 21
Number of retired or separated participants receiving benefits 2012-06-01 0
Number of other retired or separated participants entitled to future benefits 2012-06-01 0
Total of all active and inactive participants 2012-06-01 21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-06-01 0
Total participants 2012-06-01 21
Number of participants with account balances 2012-06-01 16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-06-01 0

Measure	Date	Value
2012: GORIS FINANCIAL GROUP, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-06-01	23
Total number of active participants reported on line 7a of the Form 5500	2012-06-01	21
Number of retired or separated participants receiving benefits	2012-06-01	0
Number of other retired or separated participants entitled to future benefits	2012-06-01	0
Total of all active and inactive participants	2012-06-01	21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-06-01	0
Total participants	2012-06-01	21
Number of participants with account balances	2012-06-01	16
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-06-01	0

Financial Data on GORIS FINANCIAL GROUP, INC. 401(K) PLAN

Measure	Date	Value
2012 : GORIS FINANCIAL GROUP, INC. 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$137,057
Expenses. Total of all expenses incurred	2012-12-31	$3,430
Benefits paid (including direct rollovers)	2012-12-31	$3,055
Total plan assets at end of year	2012-12-31	$133,627
Total contributions received or receivable from participants	2012-12-31	$42,936
Contributions received from other sources (not participants or employers)	2012-12-31	$64,142
Other income received	2012-12-31	$6,413
Net income (gross income less expenses)	2012-12-31	$133,627
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$133,627
Total contributions received or receivable from employer(s)	2012-12-31	$23,566
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$375
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0

Form 5500 Responses for GORIS FINANCIAL GROUP, INC. 401(K) PLAN

2012: GORIS FINANCIAL GROUP, INC. 401(K) PLAN 2012 form 5500 responses
2012-06-01	Type of plan entity	Single employer plan
2012-06-01	First time form 5500 has been submitted	Yes
2012-06-01	Submission has been amended	No
2012-06-01	This submission is the final filing	No
2012-06-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2012-06-01	Plan is a collectively bargained plan	No
2012-06-01	Plan funding arrangement – Insurance	Yes
2012-06-01	Plan funding arrangement – Trust	Yes
2012-06-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

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

Policy contract number

106617

Policy instance

Insurance contract or identification number	106617
Number of Individuals Covered	19
Insurance policy start date	2012-06-19
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $162
Total amount of fees paid to insurance company	USD $50
Commission paid to Insurance Broker	USD $162
Insurance broker organization code?	3
Amount paid for insurance broker fees	50
Additional information about fees paid to insurance broker	TPA FEE
Insurance broker name	E.R.I.S.A., INC.

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Company Name:	GORIS FINANCIAL GROUP, INC.
Employer identification number (EIN):	454957569
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages