401k Plan data: UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN plan

UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN 401k Plan overview

Plan Name	UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN
Plan identification number	001

UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

UPSTATE NEW YORK POWER PRODUCERS INC has sponsored the creation of one or more 401k plans.

Company Name: UPSTATE NEW YORK POWER PRODUCERS INC

Employer identification number (EIN): 455079945

NAIC Classification: 221100

Additional information about UPSTATE NEW YORK POWER PRODUCERS INC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 5137766

More information about UPSTATE NEW YORK POWER PRODUCERS INC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 JOE PROVINO JOE PROVINO 2015-10-15
001 2013-01-01 JOE PROVINO JOE PROVINO 2014-10-15
001 2012-08-28 JOE PROVINO JOE PROVINO 2013-10-15

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01	JOE PROVINO	JOE PROVINO	2015-10-15
001	2013-01-01	JOE PROVINO	JOE PROVINO	2014-10-15
001	2012-08-28	JOE PROVINO	JOE PROVINO	2013-10-15

Plan Statistics for UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN

401k plan membership statisitcs for UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN

Measure Date Value
2014: UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 162
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 160
Number of retired or separated participants receiving benefits 2014-01-01 1
Number of other retired or separated participants entitled to future benefits 2014-01-01 7
Total of all active and inactive participants 2014-01-01 168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 168
Number of participants with account balances 2014-01-01 168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 154
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 157
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 5
Total of all active and inactive participants 2013-01-01 162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 162
Number of participants with account balances 2013-01-01 162
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN 2012 401k membership
Total participants, beginning-of-year 2012-08-28 172
Total number of active participants reported on line 7a of the Form 5500 2012-08-28 152
Number of retired or separated participants receiving benefits 2012-08-28 2
Number of other retired or separated participants entitled to future benefits 2012-08-28 0
Total of all active and inactive participants 2012-08-28 154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-08-28 0
Total participants 2012-08-28 154
Number of participants with account balances 2012-08-28 154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-08-28 0

Measure	Date	Value
2014: UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	162
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	160
Number of retired or separated participants receiving benefits	2014-01-01	1
Number of other retired or separated participants entitled to future benefits	2014-01-01	7
Total of all active and inactive participants	2014-01-01	168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	168
Number of participants with account balances	2014-01-01	168
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	154
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	157
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	5
Total of all active and inactive participants	2013-01-01	162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	162
Number of participants with account balances	2013-01-01	162
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN 2012 401k membership
Total participants, beginning-of-year	2012-08-28	172
Total number of active participants reported on line 7a of the Form 5500	2012-08-28	152
Number of retired or separated participants receiving benefits	2012-08-28	2
Number of other retired or separated participants entitled to future benefits	2012-08-28	0
Total of all active and inactive participants	2012-08-28	154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-08-28	0
Total participants	2012-08-28	154
Number of participants with account balances	2012-08-28	154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-08-28	0

Financial Data on UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN

Measure	Date	Value
2014 : UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$3,024,971
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$677,836
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$669,411
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,593,470
Value of total assets at end of year	2014-12-31	$11,172,402
Value of total assets at beginning of year	2014-12-31	$8,825,267
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$8,425
Total interest from all sources	2014-12-31	$37,314
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$82,701
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$82,701
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,725,970
Participant contributions at end of year	2014-12-31	$251,782
Participant contributions at beginning of year	2014-12-31	$275,896
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$9,539
Administrative expenses (other) incurred	2014-12-31	$8,425
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$2,347,135
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$11,172,402
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$8,825,267
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$9,077,267
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$7,091,746
Interest on participant loans	2014-12-31	$10,721
Interest earned on other investments	2014-12-31	$26,593
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$1,843,353
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$1,457,625
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$311,486
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$857,961
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$669,411
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	FREED MAXICK CPAS PC
Accountancy firm EIN	2014-12-31	454051133
2013 : UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$4,047,876
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$465,226
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$432,135
Expenses. Certain deemed distributions of participant loans	2013-12-31	$25,201
Value of total corrective distributions	2013-12-31	$2,965
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$2,912,043
Value of total assets at end of year	2013-12-31	$8,825,267
Value of total assets at beginning of year	2013-12-31	$5,242,617
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$4,925
Total interest from all sources	2013-12-31	$30,541
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$57,701
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$57,701
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,643,084
Participant contributions at end of year	2013-12-31	$275,896
Participant contributions at beginning of year	2013-12-31	$308,753
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$560,889
Administrative expenses (other) incurred	2013-12-31	$4,925
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$3,582,650
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$8,825,267
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$5,242,617
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$7,091,746
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$3,992,412
Interest on participant loans	2013-12-31	$11,061
Interest earned on other investments	2013-12-31	$19,480
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$1,457,625
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$941,452
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$1,047,591
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$708,070
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$432,135
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	FREED MAXICK CPAS PC
Accountancy firm EIN	2013-12-31	454051133
2012 : UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets to this plan	2012-12-31	$3,798,635
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$3,069,599
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$1,625,617
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,625,075
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,974,841
Value of total assets at end of year	2012-12-31	$5,242,617
Value of total assets at beginning of year	2012-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$542
Total interest from all sources	2012-12-31	$9,214
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$24,372
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$24,372
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$579,419
Participant contributions at end of year	2012-12-31	$308,753
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$2,108,895
Administrative expenses (other) incurred	2012-12-31	$542
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$1,443,982
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$5,242,617
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$3,992,412
Interest on participant loans	2012-12-31	$5,952
Interest earned on other investments	2012-12-31	$3,262
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$941,452
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$61,172
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$286,527
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,625,075
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No

Form 5500 Responses for UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN

2014: UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: UPSTATE POWER PRODUCERS, INC. RETIREMENT SAVINGS P LAN 2012 form 5500 responses
2012-08-28	Type of plan entity	Single employer plan
2012-08-28	First time form 5500 has been submitted	Yes
2012-08-28	Submission has been amended	No
2012-08-28	This submission is the final filing	No
2012-08-28	This return/report is a short plan year return/report (less than 12 months)	Yes
2012-08-28	Plan is a collectively bargained plan	No
2012-08-28	Plan funding arrangement – Insurance	Yes
2012-08-28	Plan funding arrangement – Trust	Yes
2012-08-28	Plan benefit arrangement – Insurance	Yes
2012-08-28	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

041983

Policy instance

Insurance contract or identification number	041983
Number of Individuals Covered	168
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
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?	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 $87
Insurance broker organization code?	4

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

041983

Policy instance

Insurance contract or identification number	041983
Number of Individuals Covered	162
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
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?	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

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

041983

Policy instance

Insurance contract or identification number	041983
Number of Individuals Covered	154
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $25,000
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

Potentially related plans

UPSTATE POWERBOAT 401(K) PROFIT SHARING PLAN & TRUST [EIN = 843179835]

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Company Name:	UPSTATE NEW YORK POWER PRODUCERS INC
Employer identification number (EIN):	455079945
NAIC Classification:	221100

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	5137766