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OCEAN EXPRESS, LLC 401(K) PLAN 401k Plan overview

Plan NameOCEAN EXPRESS, LLC 401(K) PLAN
Plan identification number 001

OCEAN EXPRESS, LLC 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • 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.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

OCEAN EXPRESS, LLC has sponsored the creation of one or more 401k plans.

Company Name:OCEAN EXPRESS, LLC
Employer identification number (EIN):463165753
NAIC Classification:484120
NAIC Description: General Freight Trucking, Long-Distance

Form 5500 Filing Information

Submission information for form 5500 for 401k plan OCEAN EXPRESS, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01RICHARD E. REED
0012017-01-01RICHARD E. REED
0012016-01-01RICHARD E. REED
0012015-07-01RICHARD E. REED

Plan Statistics for OCEAN EXPRESS, LLC 401(K) PLAN

401k plan membership statisitcs for OCEAN EXPRESS, LLC 401(K) PLAN

Measure Date Value
2022: OCEAN EXPRESS, LLC 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-0187
Total number of active participants reported on line 7a of the Form 55002022-01-0177
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-013
Total of all active and inactive participants2022-01-0180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-0180
Number of participants with account balances2022-01-0132
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: OCEAN EXPRESS, LLC 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-0181
Total number of active participants reported on line 7a of the Form 55002021-01-0182
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-016
Total of all active and inactive participants2021-01-0188
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-0188
Number of participants with account balances2021-01-0134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-010
2020: OCEAN EXPRESS, LLC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-0180
Total number of active participants reported on line 7a of the Form 55002020-01-0178
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-016
Total of all active and inactive participants2020-01-0184
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-0184
Number of participants with account balances2020-01-0139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-010
2019: OCEAN EXPRESS, LLC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-0186
Total number of active participants reported on line 7a of the Form 55002019-01-0177
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-013
Total of all active and inactive participants2019-01-0180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-0180
Number of participants with account balances2019-01-0132
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-010
2018: OCEAN EXPRESS, LLC 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-0183
Total number of active participants reported on line 7a of the Form 55002018-01-0184
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-012
Total of all active and inactive participants2018-01-0186
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-0186
Number of participants with account balances2018-01-0132
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: OCEAN EXPRESS, LLC 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-0185
Total number of active participants reported on line 7a of the Form 55002017-01-0184
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-011
Total of all active and inactive participants2017-01-0185
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-0185
Number of participants with account balances2017-01-0131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: OCEAN EXPRESS, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-0167
Total number of active participants reported on line 7a of the Form 55002016-01-0186
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-012
Total of all active and inactive participants2016-01-0188
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-0188
Number of participants with account balances2016-01-0131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: OCEAN EXPRESS, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-07-0124
Total number of active participants reported on line 7a of the Form 55002015-07-0142
Number of retired or separated participants receiving benefits2015-07-010
Number of other retired or separated participants entitled to future benefits2015-07-010
Total of all active and inactive participants2015-07-0142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-07-010
Total participants2015-07-0142
Number of participants with account balances2015-07-0114
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-07-010

Financial Data on OCEAN EXPRESS, LLC 401(K) PLAN

Measure Date Value
2022 : OCEAN EXPRESS, LLC 401(K) PLAN 2022 401k financial data
Total income from all sources2022-12-31$-89,810
Expenses. Total of all expenses incurred2022-12-31$104,508
Benefits paid (including direct rollovers)2022-12-31$90,060
Total plan assets at end of year2022-12-31$2,261,116
Total plan assets at beginning of year2022-12-31$2,455,434
Value of fidelity bond covering the plan2022-12-31$246,000
Total contributions received or receivable from participants2022-12-31$213,030
Other income received2022-12-31$-402,280
Net income (gross income less expenses)2022-12-31$-194,318
Net plan assets at end of year (total assets less liabilities)2022-12-31$2,261,116
Net plan assets at beginning of year (total assets less liabilities)2022-12-31$2,455,434
Assets. Value of participant loans2022-12-31$11,847
Total contributions received or receivable from employer(s)2022-12-31$99,440
Expenses. Administrative service providers (salaries,fees and commissions)2022-12-31$14,448
2021 : OCEAN EXPRESS, LLC 401(K) PLAN 2021 401k financial data
Total income from all sources2021-12-31$596,887
Expenses. Total of all expenses incurred2021-12-31$852,588
Benefits paid (including direct rollovers)2021-12-31$833,621
Total plan assets at end of year2021-12-31$2,455,434
Total plan assets at beginning of year2021-12-31$2,711,135
Value of fidelity bond covering the plan2021-12-31$272,000
Total contributions received or receivable from participants2021-12-31$213,094
Contributions received from other sources (not participants or employers)2021-12-31$12,546
Other income received2021-12-31$274,697
Net income (gross income less expenses)2021-12-31$-255,701
Net plan assets at end of year (total assets less liabilities)2021-12-31$2,455,434
Net plan assets at beginning of year (total assets less liabilities)2021-12-31$2,711,135
Assets. Value of participant loans2021-12-31$8,668
Total contributions received or receivable from employer(s)2021-12-31$96,550
Expenses. Administrative service providers (salaries,fees and commissions)2021-12-31$18,967
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
2020 : OCEAN EXPRESS, LLC 401(K) PLAN 2020 401k financial data
Total income from all sources2020-12-31$768,000
Expenses. Total of all expenses incurred2020-12-31$512,471
Benefits paid (including direct rollovers)2020-12-31$490,581
Total plan assets at end of year2020-12-31$2,711,135
Total plan assets at beginning of year2020-12-31$2,455,606
Value of fidelity bond covering the plan2020-12-31$272,000
Total contributions received or receivable from participants2020-12-31$289,116
Contributions received from other sources (not participants or employers)2020-12-31$4,483
Other income received2020-12-31$373,500
Net income (gross income less expenses)2020-12-31$255,529
Net plan assets at end of year (total assets less liabilities)2020-12-31$2,711,135
Net plan assets at beginning of year (total assets less liabilities)2020-12-31$2,455,606
Assets. Value of participant loans2020-12-31$39,548
Total contributions received or receivable from employer(s)2020-12-31$100,901
Expenses. Administrative service providers (salaries,fees and commissions)2020-12-31$21,890
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
2019 : OCEAN EXPRESS, LLC 401(K) PLAN 2019 401k financial data
Total income from all sources2019-12-31$708,591
Expenses. Total of all expenses incurred2019-12-31$70,015
Benefits paid (including direct rollovers)2019-12-31$47,490
Total plan assets at end of year2019-12-31$2,455,606
Total plan assets at beginning of year2019-12-31$1,817,030
Value of fidelity bond covering the plan2019-12-31$246,000
Total contributions received or receivable from participants2019-12-31$257,534
Other income received2019-12-31$362,974
Net income (gross income less expenses)2019-12-31$638,576
Net plan assets at end of year (total assets less liabilities)2019-12-31$2,455,606
Net plan assets at beginning of year (total assets less liabilities)2019-12-31$1,817,030
Assets. Value of participant loans2019-12-31$58,320
Total contributions received or receivable from employer(s)2019-12-31$88,083
Expenses. Administrative service providers (salaries,fees and commissions)2019-12-31$22,525
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
2018 : OCEAN EXPRESS, LLC 401(K) PLAN 2018 401k financial data
Total income from all sources2018-12-31$222,397
Expenses. Total of all expenses incurred2018-12-31$75,879
Benefits paid (including direct rollovers)2018-12-31$56,273
Total plan assets at end of year2018-12-31$1,817,030
Total plan assets at beginning of year2018-12-31$1,670,512
Value of fidelity bond covering the plan2018-12-31$182,000
Total contributions received or receivable from participants2018-12-31$252,190
Other income received2018-12-31$-114,261
Net income (gross income less expenses)2018-12-31$146,518
Net plan assets at end of year (total assets less liabilities)2018-12-31$1,817,030
Net plan assets at beginning of year (total assets less liabilities)2018-12-31$1,670,512
Assets. Value of participant loans2018-12-31$29,706
Total contributions received or receivable from employer(s)2018-12-31$84,468
Expenses. Administrative service providers (salaries,fees and commissions)2018-12-31$19,606
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
2017 : OCEAN EXPRESS, LLC 401(K) PLAN 2017 401k financial data
Total income from all sources2017-12-31$484,422
Expenses. Total of all expenses incurred2017-12-31$51,459
Benefits paid (including direct rollovers)2017-12-31$34,668
Total plan assets at end of year2017-12-31$1,670,512
Total plan assets at beginning of year2017-12-31$1,237,549
Value of fidelity bond covering the plan2017-12-31$170,000
Total contributions received or receivable from participants2017-12-31$200,579
Other income received2017-12-31$203,350
Net income (gross income less expenses)2017-12-31$432,963
Net plan assets at end of year (total assets less liabilities)2017-12-31$1,670,512
Net plan assets at beginning of year (total assets less liabilities)2017-12-31$1,237,549
Assets. Value of participant loans2017-12-31$22,034
Total contributions received or receivable from employer(s)2017-12-31$80,493
Expenses. Administrative service providers (salaries,fees and commissions)2017-12-31$16,791
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
2016 : OCEAN EXPRESS, LLC 401(K) PLAN 2016 401k financial data
Total income from all sources2016-12-31$1,084,457
Expenses. Total of all expenses incurred2016-12-31$20,439
Benefits paid (including direct rollovers)2016-12-31$9,994
Total plan assets at end of year2016-12-31$1,237,549
Total plan assets at beginning of year2016-12-31$173,531
Total contributions received or receivable from participants2016-12-31$177,385
Contributions received from other sources (not participants or employers)2016-12-31$767,252
Other income received2016-12-31$72,003
Net income (gross income less expenses)2016-12-31$1,064,018
Net plan assets at end of year (total assets less liabilities)2016-12-31$1,237,549
Net plan assets at beginning of year (total assets less liabilities)2016-12-31$173,531
Total contributions received or receivable from employer(s)2016-12-31$67,817
Expenses. Administrative service providers (salaries,fees and commissions)2016-12-31$10,445
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
2015 : OCEAN EXPRESS, LLC 401(K) PLAN 2015 401k financial data
Total income from all sources2015-12-31$173,749
Expenses. Total of all expenses incurred2015-12-31$218
Total plan assets at end of year2015-12-31$173,531
Total plan assets at beginning of year2015-12-31$0
Total contributions received or receivable from participants2015-12-31$12,794
Contributions received from other sources (not participants or employers)2015-12-31$151,148
Other income received2015-12-31$668
Net income (gross income less expenses)2015-12-31$173,531
Net plan assets at end of year (total assets less liabilities)2015-12-31$173,531
Net plan assets at beginning of year (total assets less liabilities)2015-12-31$0
Total contributions received or receivable from employer(s)2015-12-31$9,139
Expenses. Administrative service providers (salaries,fees and commissions)2015-12-31$218

Form 5500 Responses for OCEAN EXPRESS, LLC 401(K) PLAN

2022: OCEAN EXPRESS, LLC 401(K) PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: OCEAN EXPRESS, LLC 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: OCEAN EXPRESS, LLC 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: OCEAN EXPRESS, LLC 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: OCEAN EXPRESS, LLC 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: OCEAN EXPRESS, LLC 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: OCEAN EXPRESS, LLC 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: OCEAN EXPRESS, LLC 401(K) PLAN 2015 form 5500 responses
2015-07-01Type of plan entitySingle employer plan
2015-07-01First time form 5500 has been submittedYes
2015-07-01Submission has been amendedNo
2015-07-01This submission is the final filingNo
2015-07-01This return/report is a short plan year return/report (less than 12 months)Yes
2015-07-01Plan is a collectively bargained planNo
2015-07-01Plan funding arrangement – InsuranceYes
2015-07-01Plan funding arrangement – TrustYes
2015-07-01Plan benefit arrangement – InsuranceYes
2015-07-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number119546
Policy instance 1
Insurance contract or identification number119546
Number of Individuals Covered32
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $1,256
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees1131
Additional information about fees paid to insurance brokerTPA COMPENSATION
Insurance broker organization code?5
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number119546
Policy instance 1
Insurance contract or identification number119546
Number of Individuals Covered34
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $1,330
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees1093
Additional information about fees paid to insurance brokerTPA COMPENSATION
Insurance broker organization code?5
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number119546
Policy instance 1
Insurance contract or identification number119546
Number of Individuals Covered38
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $1,477
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees1252
Additional information about fees paid to insurance brokerTPA COMPENSATION
Insurance broker organization code?5
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number119546
Policy instance 1
Insurance contract or identification number119546
Number of Individuals Covered32
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $1,201
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees1074
Additional information about fees paid to insurance brokerTPA COMPENSATION
Insurance broker organization code?5
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number119546
Policy instance 1
Insurance contract or identification number119546
Number of Individuals Covered33
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $1,150
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees900
Additional information about fees paid to insurance brokerTPA COMPENSATION
Insurance broker organization code?5
Insurance broker nameSWERDLIN NORTHEAST LLC
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number119546
Policy instance 1
Insurance contract or identification number119546
Number of Individuals Covered31
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $7,209
Total amount of fees paid to insurance companyUSD $847
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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?Yes
Commission paid to Insurance BrokerUSD $7,209
Insurance broker organization code?3
Amount paid for insurance broker fees722
Additional information about fees paid to insurance brokerTPA COMPENSATION
Insurance broker nameSWERDLIN NORTHEAST LLC
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number119546
Policy instance 1
Insurance contract or identification number119546
Number of Individuals Covered14
Insurance policy start date2015-08-24
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $25
Total amount of fees paid to insurance companyUSD $125
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?Yes
Amount paid for insurance broker fees125
Additional information about fees paid to insurance brokerTPA COMPENSATION
Insurance broker organization code?5
Commission paid to Insurance BrokerUSD $25
Insurance broker nameCES INSURANCE AGENCY, INC.

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