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NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan NameNORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST
Plan identification number 001

NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • 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

NORTHWEST MANAGEMENT, INC. has sponsored the creation of one or more 401k plans.

Company Name:NORTHWEST MANAGEMENT, INC.
Employer identification number (EIN):521993421
NAIC Classification:441110
NAIC Description:New Car Dealers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012019-01-01EDWARD DREIBAND2020-06-19
0012018-01-01EDWARD DREIBAND2019-10-10
0012017-01-01EDWARD DREIBAND2018-10-15
0012016-01-01EDWARD DREIBAND
0012015-01-01EDWARD DREIBAND
0012014-01-01EDWARD DREIBAND
0012013-01-01EDWARD DREIBAND
0012012-01-01EDWARD DREIBAND
0012011-01-01EDWARD DREIBAND
0012010-01-01EDWARD DREIBAND
0012009-01-01EDWARD DREIBAND

Plan Statistics for NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST

401k plan membership statisitcs for NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST

Measure Date Value
2016: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2016 401k membership
Total participants, beginning-of-year2016-01-01146
Total number of active participants reported on line 7a of the Form 55002016-01-0162
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0122
Total of all active and inactive participants2016-01-0184
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-0184
Number of participants with account balances2016-01-0142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2015 401k membership
Total participants, beginning-of-year2015-01-01143
Total number of active participants reported on line 7a of the Form 55002015-01-01127
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0115
Total of all active and inactive participants2015-01-01142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01142
Number of participants with account balances2015-01-0159
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-018
2014: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2014 401k membership
Total participants, beginning-of-year2014-01-01155
Total number of active participants reported on line 7a of the Form 55002014-01-01124
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0112
Total of all active and inactive participants2014-01-01136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01136
Number of participants with account balances2014-01-0163
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0122
2013: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year2013-01-01165
Total number of active participants reported on line 7a of the Form 55002013-01-01131
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0124
Total of all active and inactive participants2013-01-01155
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01155
Number of participants with account balances2013-01-0177
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0115
2012: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year2012-01-01171
Total number of active participants reported on line 7a of the Form 55002012-01-01132
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0126
Total of all active and inactive participants2012-01-01158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01158
Number of participants with account balances2012-01-0181
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0114
2011: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year2011-01-01156
Total number of active participants reported on line 7a of the Form 55002011-01-01125
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0130
Total of all active and inactive participants2011-01-01155
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01155
Number of participants with account balances2011-01-0189
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0112
2010: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year2010-01-01158
Total number of active participants reported on line 7a of the Form 55002010-01-01125
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-0130
Total of all active and inactive participants2010-01-01155
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01155
Number of participants with account balances2010-01-0188
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-0113
2009: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year2009-01-01147
Total number of active participants reported on line 7a of the Form 55002009-01-01109
Number of other retired or separated participants entitled to future benefits2009-01-0126
Total of all active and inactive participants2009-01-01135
Total participants2009-01-01135
Number of participants with account balances2009-01-0188
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-019

Financial Data on NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST

Measure Date Value
2016 : NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$485,833
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$1,885,913
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$1,882,037
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$248,140
Value of total assets at end of year2016-12-31$1,883,536
Value of total assets at beginning of year2016-12-31$3,283,616
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$3,876
Total interest from all sources2016-12-31$3,677
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Administrative expenses professional fees incurred2016-12-31$2,200
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$175,720
Participant contributions at end of year2016-12-31$56,180
Participant contributions at beginning of year2016-12-31$140,002
Participant contributions at end of year2016-12-31$753
Participant contributions at beginning of year2016-12-31$753
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$72,420
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-12-31$0
Liabilities. Value of operating payables at end of year2016-12-31$0
Liabilities. Value of operating payables at beginning of year2016-12-31$0
Total non interest bearing cash at end of year2016-12-31$2,829
Total non interest bearing cash at beginning of year2016-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$-1,400,080
Value of net assets at end of year (total assets less liabilities)2016-12-31$1,883,536
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$3,283,616
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$0
Value of interest in pooled separate accounts at end of year2016-12-31$1,823,774
Value of interest in pooled separate accounts at beginning of year2016-12-31$3,142,861
Interest on participant loans2016-12-31$3,677
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$0
Net investment gain/loss from pooled separate accounts2016-12-31$234,016
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31Yes
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$1,882,037
Contract administrator fees2016-12-31$1,676
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Liabilities. Value of acquisition indebtedness at end of year2016-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2016-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31WEYRICH, CRONIN & SORRA
Accountancy firm EIN2016-12-31521162023
2015 : NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$343
Total income from all sources (including contributions)2015-12-31$133,204
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$838,541
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$824,332
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$214,220
Value of total assets at end of year2015-12-31$3,283,616
Value of total assets at beginning of year2015-12-31$3,989,296
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$14,209
Total interest from all sources2015-12-31$5,145
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Administrative expenses professional fees incurred2015-12-31$11,115
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$500,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$214,220
Participant contributions at end of year2015-12-31$140,002
Participant contributions at beginning of year2015-12-31$160,831
Participant contributions at end of year2015-12-31$753
Participant contributions at beginning of year2015-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$0
Liabilities. Value of operating payables at end of year2015-12-31$0
Liabilities. Value of operating payables at beginning of year2015-12-31$343
Total non interest bearing cash at end of year2015-12-31$0
Total non interest bearing cash at beginning of year2015-12-31$343
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-705,337
Value of net assets at end of year (total assets less liabilities)2015-12-31$3,283,616
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$3,988,953
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$3,142,861
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$3,828,122
Interest on participant loans2015-12-31$5,145
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$0
Net investment gain/loss from pooled separate accounts2015-12-31$-86,161
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$824,332
Contract administrator fees2015-12-31$3,094
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31WEYRICH, CRONIN & SORRA
Accountancy firm EIN2015-12-31521162023
2014 : NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$343
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$1,316
Total income from all sources (including contributions)2014-12-31$485,715
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$307,045
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$280,779
Expenses. Certain deemed distributions of participant loans2014-12-31$6,807
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$320,271
Value of total assets at end of year2014-12-31$3,989,296
Value of total assets at beginning of year2014-12-31$3,811,599
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$19,459
Total interest from all sources2014-12-31$5,200
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Administrative expenses professional fees incurred2014-12-31$15,593
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$500,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$221,643
Participant contributions at end of year2014-12-31$160,831
Participant contributions at beginning of year2014-12-31$165,206
Participant contributions at end of year2014-12-31$0
Participant contributions at beginning of year2014-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$98,628
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$1,316
Liabilities. Value of operating payables at end of year2014-12-31$343
Liabilities. Value of operating payables at beginning of year2014-12-31$0
Total non interest bearing cash at end of year2014-12-31$343
Total non interest bearing cash at beginning of year2014-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$178,670
Value of net assets at end of year (total assets less liabilities)2014-12-31$3,988,953
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$3,810,283
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$3,828,122
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$3,646,393
Interest on participant loans2014-12-31$5,200
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$160,244
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$280,779
Contract administrator fees2014-12-31$3,866
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31WEYRICH, CRONIN & SORRA
Accountancy firm EIN2014-12-31521162023
2013 : NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$1,316
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$1,295
Total income from all sources (including contributions)2013-12-31$782,105
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$246,267
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$235,707
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$273,159
Value of total assets at end of year2013-12-31$3,811,599
Value of total assets at beginning of year2013-12-31$3,275,740
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$10,560
Total interest from all sources2013-12-31$5,521
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Administrative expenses professional fees incurred2013-12-31$6,878
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$265,890
Participant contributions at end of year2013-12-31$165,206
Participant contributions at beginning of year2013-12-31$145,117
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$7,269
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$1,316
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$1,295
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$535,838
Value of net assets at end of year (total assets less liabilities)2013-12-31$3,810,283
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$3,274,445
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$3,646,393
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$3,130,471
Interest on participant loans2013-12-31$5,521
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$152
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$152
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$503,425
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$235,707
Contract administrator fees2013-12-31$3,682
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31WEYRICH, CRONIN & SORRA
Accountancy firm EIN2013-12-31521162023
2012 : NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$1,295
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$1,114
Total income from all sources (including contributions)2012-12-31$640,581
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$556,551
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$516,457
Expenses. Certain deemed distributions of participant loans2012-12-31$27,194
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$295,552
Value of total assets at end of year2012-12-31$3,275,740
Value of total assets at beginning of year2012-12-31$3,191,529
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$12,900
Total interest from all sources2012-12-31$6,010
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Administrative expenses professional fees incurred2012-12-31$9,701
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$250,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$295,552
Participant contributions at end of year2012-12-31$145,117
Participant contributions at beginning of year2012-12-31$204,330
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$1,295
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$1,114
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$84,030
Value of net assets at end of year (total assets less liabilities)2012-12-31$3,274,445
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$3,190,415
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in pooled separate accounts at end of year2012-12-31$3,130,471
Value of interest in pooled separate accounts at beginning of year2012-12-31$2,986,964
Interest on participant loans2012-12-31$6,010
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$152
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$235
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$235
Net investment gain/loss from pooled separate accounts2012-12-31$339,019
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$516,457
Contract administrator fees2012-12-31$3,199
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31WEYRICH, CRONIN & SORRA
Accountancy firm EIN2012-12-31521162023
2011 : NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$1,114
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$1,356
Total income from all sources (including contributions)2011-12-31$112,109
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$80,560
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$38,881
Expenses. Certain deemed distributions of participant loans2011-12-31$32,454
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$279,207
Value of total assets at end of year2011-12-31$3,191,529
Value of total assets at beginning of year2011-12-31$3,160,222
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$9,225
Total interest from all sources2011-12-31$7,689
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Administrative expenses professional fees incurred2011-12-31$450
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$200,000
If this is an individual account plan, was there a blackout period2011-12-31Yes
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$279,207
Participant contributions at end of year2011-12-31$204,330
Participant contributions at beginning of year2011-12-31$198,663
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2011-12-31$1,114
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$1,356
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$31,549
Value of net assets at end of year (total assets less liabilities)2011-12-31$3,190,415
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$3,158,866
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in pooled separate accounts at end of year2011-12-31$2,986,964
Value of interest in pooled separate accounts at beginning of year2011-12-31$2,960,362
Interest on participant loans2011-12-31$7,689
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$235
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$1,197
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$1,197
Net investment gain/loss from pooled separate accounts2011-12-31$-174,787
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$38,881
Contract administrator fees2011-12-31$8,775
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31Yes
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31WEYRICH, CRONIN & SORRA
Accountancy firm EIN2011-12-31521162023
2010 : NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$1,356
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$1,049
Total income from all sources (including contributions)2010-12-31$649,715
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$86,890
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$77,065
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$260,770
Value of total assets at end of year2010-12-31$3,160,222
Value of total assets at beginning of year2010-12-31$2,597,090
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$9,825
Total interest from all sources2010-12-31$6,842
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Administrative expenses professional fees incurred2010-12-31$7,500
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$200,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$260,770
Participant contributions at end of year2010-12-31$198,663
Participant contributions at beginning of year2010-12-31$139,797
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$1,356
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$1,049
Other income not declared elsewhere2010-12-31$101
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$562,825
Value of net assets at end of year (total assets less liabilities)2010-12-31$3,158,866
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$2,596,041
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in pooled separate accounts at end of year2010-12-31$2,960,362
Value of interest in pooled separate accounts at beginning of year2010-12-31$2,456,373
Interest on participant loans2010-12-31$6,811
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$1,197
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$920
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$920
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$31
Net investment gain/loss from pooled separate accounts2010-12-31$382,002
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$77,065
Contract administrator fees2010-12-31$2,325
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31WEYRICH, CRONIN & SORRA
Accountancy firm EIN2010-12-31521162023
2009 : NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST

2016: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 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 - TrustYes
2015: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2010: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – InsuranceYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement - TrustYes
2009: NORTHWEST MANAGEMENT, INC. 401K PROFIT SHARING PLAN & TRUST 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan 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 number103657
Policy instance 1
Insurance contract or identification number103657
Number of Individuals Covered72
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $26,253
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?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 fees14402
Additional information about fees paid to insurance brokerAGENT
Insurance broker organization code?4
Insurance broker nameRAMSCO, INC.
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number103657
Policy instance 1
Insurance contract or identification number103657
Number of Individuals Covered73
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $26,149
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?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 fees14735
Additional information about fees paid to insurance brokerAGENT
Insurance broker organization code?4
Insurance broker nameRAMSCO, INC.
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number103657
Policy instance 1
Insurance contract or identification number103657
Number of Individuals Covered80
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $23,920
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?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 fees13703
Additional information about fees paid to insurance brokerAGENT
Insurance broker organization code?4
Insurance broker nameRAMSCO, INC.
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number103657
Policy instance 1
Insurance contract or identification number103657
Number of Individuals Covered86
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $18,721
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?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 fees8283
Additional information about fees paid to insurance brokerCONTRACT FEES
Insurance broker organization code?4
Insurance broker nameFOUNDERS FINANCIAL SECURITIES, LLC
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberGH3622
Policy instance 1
Insurance contract or identification numberGH3622
Number of Individuals Covered97
Insurance policy start date2011-01-01
Insurance policy end date2011-12-14
Total amount of commissions paid to insurance brokerUSD $15,272
Total amount of fees paid to insurance companyUSD $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 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
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number103657
Policy instance 2
Insurance contract or identification number103657
Number of Individuals Covered91
Insurance policy start date2011-12-14
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $29,178
Total amount of fees paid to insurance companyUSD $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 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
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract numberGH3622
Policy instance 1
Insurance contract or identification numberGH3622
Number of Individuals Covered88
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $12,902
Total amount of fees paid to insurance companyUSD $5,001
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?No

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