401k Plan data: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN plan

ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN
Plan identification number	001

ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.

401k Sponsoring company profile

ASSOCIATED INSURANCE MANAGEMENT has sponsored the creation of one or more 401k plans.

Company Name: ASSOCIATED INSURANCE MANAGEMENT

Employer identification number (EIN): 520893204

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01 JOHN SCOTT 2018-09-25
001 2016-01-01 JOHN SCOTT 2017-09-18 JOHN SCOTT 2017-09-06
001 2015-01-01 JOHN SCOTT 2016-07-27
001 2014-01-01 JOHN SCOTT 2015-10-06 JOHN SCOTT 2015-10-06
001 2013-01-01 JOHN J. SCOTT JOHN J. SCOTT 2014-08-29
001 2012-01-01 JOHN SCOTT JOHN SCOTT 2013-09-11
001 2011-01-01 JOHN J. SCOTT JOHN J. SCOTT 2012-10-12
001 2010-01-01 ELLEN SOSA ELLEN SOSA 2011-10-17
001 2009-01-01 JOHN SCOTT JOHN SCOTT 2010-07-15
001 2009-01-01 JOHN SCOTT JOHN SCOTT 2010-07-15
001 2009-01-01 JOHN SCOTT JOHN SCOTT 2010-07-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01	JOHN SCOTT	2018-09-25
001	2016-01-01	JOHN SCOTT	2017-09-18	JOHN SCOTT	2017-09-06
001	2015-01-01	JOHN SCOTT	2016-07-27
001	2014-01-01	JOHN SCOTT	2015-10-06	JOHN SCOTT	2015-10-06
001	2013-01-01	JOHN J. SCOTT		JOHN J. SCOTT	2014-08-29
001	2012-01-01	JOHN SCOTT		JOHN SCOTT	2013-09-11
001	2011-01-01	JOHN J. SCOTT		JOHN J. SCOTT	2012-10-12
001	2010-01-01	ELLEN SOSA		ELLEN SOSA	2011-10-17
001	2009-01-01	JOHN SCOTT		JOHN SCOTT	2010-07-15
001	2009-01-01	JOHN SCOTT		JOHN SCOTT	2010-07-15
001	2009-01-01	JOHN SCOTT		JOHN SCOTT	2010-07-15

Plan Statistics for ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN

Measure Date Value
2013: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 45
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 40
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 6
Total of all active and inactive participants 2013-01-01 46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 46
Number of participants with account balances 2013-01-01 45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 44
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 43
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 2
Total of all active and inactive participants 2012-01-01 45
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 45
Number of participants with account balances 2012-01-01 44
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 44
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 38
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 3
Total of all active and inactive participants 2011-01-01 41
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 41
Number of participants with account balances 2011-01-01 41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 41
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 32
Number of retired or separated participants receiving benefits 2010-01-01 10
Number of other retired or separated participants entitled to future benefits 2010-01-01 0
Total of all active and inactive participants 2010-01-01 42
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 42
Number of participants with account balances 2010-01-01 42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 30
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 24
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 6
Total of all active and inactive participants 2009-01-01 30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 30
Number of participants with account balances 2009-01-01 30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2013: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	45
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	40
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	6
Total of all active and inactive participants	2013-01-01	46
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	46
Number of participants with account balances	2013-01-01	45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	44
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	43
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	2
Total of all active and inactive participants	2012-01-01	45
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	45
Number of participants with account balances	2012-01-01	44
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	44
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	38
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	3
Total of all active and inactive participants	2011-01-01	41
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	41
Number of participants with account balances	2011-01-01	41
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	41
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	32
Number of retired or separated participants receiving benefits	2010-01-01	10
Number of other retired or separated participants entitled to future benefits	2010-01-01	0
Total of all active and inactive participants	2010-01-01	42
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	42
Number of participants with account balances	2010-01-01	42
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	30
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	24
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	6
Total of all active and inactive participants	2009-01-01	30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	30
Number of participants with account balances	2009-01-01	30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2013 : ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$199
Total income from all sources	2013-12-31	$739,644
Expenses. Total of all expenses incurred	2013-12-31	$435,583
Benefits paid (including direct rollovers)	2013-12-31	$435,583
Total plan assets at end of year	2013-12-31	$3,020,348
Total plan assets at beginning of year	2013-12-31	$2,716,088
Value of fidelity bond covering the plan	2013-12-31	$500,000
Total contributions received or receivable from participants	2013-12-31	$144,523
Assets. Value of loans (other than to participants)	2013-12-31	$176,885
Other income received	2013-12-31	$423,175
Net income (gross income less expenses)	2013-12-31	$304,061
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$3,020,149
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$2,716,088
Assets. Value of participant loans	2013-12-31	$71,362
Assets. Value of real-estate (other than employer real property)	2013-12-31	$7,395
Total contributions received or receivable from employer(s)	2013-12-31	$171,946
2012 : ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$420,449
Expenses. Total of all expenses incurred	2012-12-31	$32,478
Benefits paid (including direct rollovers)	2012-12-31	$26,972
Total plan assets at end of year	2012-12-31	$2,716,088
Total plan assets at beginning of year	2012-12-31	$2,328,117
Value of fidelity bond covering the plan	2012-12-31	$300,000
Total contributions received or receivable from participants	2012-12-31	$131,853
Assets. Value of loans (other than to participants)	2012-12-31	$90,000
Other income received	2012-12-31	$143,521
Net income (gross income less expenses)	2012-12-31	$387,971
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$2,716,088
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,328,117
Assets. Value of participant loans	2012-12-31	$89,824
Assets. Value of real-estate (other than employer real property)	2012-12-31	$6,602
Total contributions received or receivable from employer(s)	2012-12-31	$145,075
Value of certain deemed distributions of participant loans	2012-12-31	$5,506
2011 : ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$214,791
Expenses. Total of all expenses incurred	2011-12-31	$533,086
Benefits paid (including direct rollovers)	2011-12-31	$529,436
Total plan assets at end of year	2011-12-31	$2,328,117
Total plan assets at beginning of year	2011-12-31	$2,646,412
Value of fidelity bond covering the plan	2011-12-31	$300,000
Total contributions received or receivable from participants	2011-12-31	$127,846
Assets. Value of loans (other than to participants)	2011-12-31	$90,000
Contributions received from other sources (not participants or employers)	2011-12-31	$11,549
Other income received	2011-12-31	$-65,416
Net income (gross income less expenses)	2011-12-31	$-318,295
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,328,117
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,646,412
Assets. Value of participant loans	2011-12-31	$104,802
Assets. Value of real-estate (other than employer real property)	2011-12-31	$12,643
Total contributions received or receivable from employer(s)	2011-12-31	$140,812
Value of certain deemed distributions of participant loans	2011-12-31	$3,650
2010 : ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$294,053
Expenses. Total of all expenses incurred	2010-12-31	$4,038
Benefits paid (including direct rollovers)	2010-12-31	$4,038
Total plan assets at end of year	2010-12-31	$2,646,412
Total plan assets at beginning of year	2010-12-31	$2,356,397
Value of fidelity bond covering the plan	2010-12-31	$230,000
Total contributions received or receivable from participants	2010-12-31	$117,692
Other income received	2010-12-31	$40,213
Net income (gross income less expenses)	2010-12-31	$290,015
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,646,412
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,356,397
Assets. Value of participant loans	2010-12-31	$46,568
Assets. Value of employer real property	2010-12-31	$348,095
Total contributions received or receivable from employer(s)	2010-12-31	$136,148

Form 5500 Responses for ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN

2013: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 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: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: ASSOCIATED INSURANCE MANAGEMENT 401(K) PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	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

60469

Policy instance

Insurance contract or identification number	60469
Number of Individuals Covered	45
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $27,286
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $25,983
Insurance broker organization code?	3
Insurance broker name	MGA CONSULTANTS

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

Policy contract number

60469

Policy instance

Insurance contract or identification number	60469
Number of Individuals Covered	44
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $22,715
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $3,313
Insurance broker organization code?	3
Insurance broker name	FSC AGENCY INC

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

Policy contract number

60469

Policy instance

Insurance contract or identification number	60469
Number of Individuals Covered	40
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $24,952
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes

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

Policy contract number

60469

Policy instance

Insurance contract or identification number	60469
Number of Individuals Covered	42
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $20,637
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes

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Company Name:	ASSOCIATED INSURANCE MANAGEMENT
Employer identification number (EIN):	520893204
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages