401k Plan data: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN plan

AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 401k Plan overview

Plan Name	AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN
Plan identification number	001

AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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) received services of leased employees, as defined in Code section 414(n), during the plan year.

401k Sponsoring company profile

AUSLEY ASSOCIATES, INC has sponsored the creation of one or more 401k plans.

Company Name: AUSLEY ASSOCIATES, INC

Employer identification number (EIN): 541831851

NAIC Classification: 541330
NAIC Description: Engineering Services

Additional information about AUSLEY ASSOCIATES, INC

Jurisdiction of Incorporation: Maryland Secretary of State

Incorporation Date:

Company Identification Number: F04857876

More information about AUSLEY ASSOCIATES, INC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01
001 2018-01-01
001 2018-01-01
001 2017-01-01 SABRINA M. BAROSIO SABRINA M. BAROSIO 2018-09-12
001 2016-01-01 SABRINA M. BAROSIO
001 2015-01-01 ERIN EMERY 2016-10-14
001 2014-01-01 ERIN EMERY ERIN EMERY 2015-10-14
001 2014-01-01 SABRINA BAROSIO
001 2013-01-01 SABRINA BAROSIO
001 2012-01-01 PAUL AUSLEY
001 2011-01-01 PAUL AUSLEY 2012-09-26
001 2010-01-01 PAUL AUSLEY 2011-07-29

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2019-01-01
001	2018-01-01
001	2018-01-01
001	2017-01-01	SABRINA M. BAROSIO		SABRINA M. BAROSIO	2018-09-12
001	2016-01-01	SABRINA M. BAROSIO
001	2015-01-01	ERIN EMERY	2016-10-14
001	2014-01-01	ERIN EMERY		ERIN EMERY	2015-10-14
001	2014-01-01	SABRINA BAROSIO
001	2013-01-01	SABRINA BAROSIO
001	2012-01-01	PAUL AUSLEY
001	2011-01-01	PAUL AUSLEY	2012-09-26
001	2010-01-01	PAUL AUSLEY	2011-07-29

Plan Statistics for AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN

401k plan membership statisitcs for AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN

Measure Date Value
2019: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 252
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 0
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 0
Total of all active and inactive participants 2019-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 0
Number of participants with account balances 2019-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 235
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 191
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 61
Total of all active and inactive participants 2018-01-01 252
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 252
Number of participants with account balances 2018-01-01 246
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 196
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 192
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 43
Total of all active and inactive participants 2017-01-01 235
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 235
Number of participants with account balances 2017-01-01 230
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 168
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 165
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 31
Total of all active and inactive participants 2016-01-01 196
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 196
Number of participants with account balances 2016-01-01 192
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2014: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 100
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 72
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 26
Total of all active and inactive participants 2014-01-01 98
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 98
Number of participants with account balances 2014-01-01 97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 126
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 84
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 16
Total of all active and inactive participants 2013-01-01 100
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 100
Number of participants with account balances 2013-01-01 99
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 142
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 99
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 27
Total of all active and inactive participants 2012-01-01 126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 126
Number of participants with account balances 2012-01-01 124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0

Measure	Date	Value
2019: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	252
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	0
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	0
Total of all active and inactive participants	2019-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	0
Number of participants with account balances	2019-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	235
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	191
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	61
Total of all active and inactive participants	2018-01-01	252
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	252
Number of participants with account balances	2018-01-01	246
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	196
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	192
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	43
Total of all active and inactive participants	2017-01-01	235
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	235
Number of participants with account balances	2017-01-01	230
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	168
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	165
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	31
Total of all active and inactive participants	2016-01-01	196
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	196
Number of participants with account balances	2016-01-01	192
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2014: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	100
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	72
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	26
Total of all active and inactive participants	2014-01-01	98
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	98
Number of participants with account balances	2014-01-01	97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	126
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	84
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	16
Total of all active and inactive participants	2013-01-01	100
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	100
Number of participants with account balances	2013-01-01	99
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	142
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	99
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	27
Total of all active and inactive participants	2012-01-01	126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	126
Number of participants with account balances	2012-01-01	124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0

Financial Data on AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN

Measure	Date	Value
2019 : AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-01-17	$0
Total transfer of assets from this plan	2019-01-17	$9,396,971
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-01-17	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-01-17	$0
Total income from all sources (including contributions)	2019-01-17	$405,676
Total loss/gain on sale of assets	2019-01-17	$0
Total of all expenses incurred	2019-01-17	$118,467
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-01-17	$111,544
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-01-17	$0
Value of total assets at end of year	2019-01-17	$0
Value of total assets at beginning of year	2019-01-17	$9,109,762
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-01-17	$6,923
Total interest from all sources	2019-01-17	$501
Total dividends received (eg from common stock, registered investment company shares)	2019-01-17	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-01-17	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2019-01-17	$0
Was this plan covered by a fidelity bond	2019-01-17	Yes
Value of fidelity bond cover	2019-01-17	$500,000
If this is an individual account plan, was there a blackout period	2019-01-17	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-01-17	$0
Were there any nonexempt tranactions with any party-in-interest	2019-01-17	No
Contributions received from participants	2019-01-17	$0
Participant contributions at end of year	2019-01-17	$0
Participant contributions at beginning of year	2019-01-17	$38,216
Participant contributions at end of year	2019-01-17	$0
Participant contributions at beginning of year	2019-01-17	$34,246
Income. Received or receivable in cash from other sources (including rollovers)	2019-01-17	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-01-17	No
Value of net income/loss	2019-01-17	$287,209
Value of net assets at end of year (total assets less liabilities)	2019-01-17	$0
Value of net assets at beginning of year (total assets less liabilities)	2019-01-17	$9,109,762
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-01-17	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-01-17	No
Were any leases to which the plan was party in default or uncollectible	2019-01-17	No
Investment advisory and management fees	2019-01-17	$5,473
Value of interest in pooled separate accounts at end of year	2019-01-17	$0
Value of interest in pooled separate accounts at beginning of year	2019-01-17	$8,283,327
Income. Interest from loans (other than to participants)	2019-01-17	$0
Interest earned on other investments	2019-01-17	$501
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-01-17	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-01-17	$733,218
Net investment gain/loss from pooled separate accounts	2019-01-17	$405,175
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-01-17	No
Was there a failure to transmit to the plan any participant contributions	2019-01-17	No
Has the plan failed to provide any benefit when due under the plan	2019-01-17	No
Contributions received in cash from employer	2019-01-17	$0
Employer contributions (assets) at end of year	2019-01-17	$0
Employer contributions (assets) at beginning of year	2019-01-17	$20,755
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-01-17	$111,544
Contract administrator fees	2019-01-17	$1,450
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2019-01-17	Yes
Did the plan have assets held for investment	2019-01-17	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-01-17	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-01-17	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-01-17	Yes
Opinion of an independent qualified public accountant for this plan	2019-01-17	Disclaimer
Accountancy firm name	2019-01-17	RILEY CPA
Accountancy firm EIN	2019-01-17	760560371
2018 : AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$1,574,419
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$1,509,684
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$1,482,065
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$2,216,578
Value of total assets at end of year	2018-12-31	$9,109,762
Value of total assets at beginning of year	2018-12-31	$9,045,027
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$27,619
Total interest from all sources	2018-12-31	$12,127
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2018-12-31	$0
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$1,221,263
Participant contributions at end of year	2018-12-31	$38,216
Participant contributions at beginning of year	2018-12-31	$93,199
Participant contributions at end of year	2018-12-31	$34,246
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$417,143
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$64,735
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$9,109,762
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$9,045,027
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$23,144
Value of interest in pooled separate accounts at end of year	2018-12-31	$8,283,327
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$8,180,189
Interest on participant loans	2018-12-31	$2,400
Income. Interest from loans (other than to participants)	2018-12-31	$0
Interest earned on other investments	2018-12-31	$9,727
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$733,218
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$771,639
Net investment gain/loss from pooled separate accounts	2018-12-31	$-654,286
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$578,172
Employer contributions (assets) at end of year	2018-12-31	$20,755
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$1,482,065
Contract administrator fees	2018-12-31	$4,475
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2018-12-31	Yes
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	RILEY CPA
Accountancy firm EIN	2018-12-31	760560371
2017 : AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$3,152,493
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$1,579,190
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,553,453
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$1,782,070
Value of total assets at end of year	2017-12-31	$9,045,027
Value of total assets at beginning of year	2017-12-31	$7,471,724
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$25,737
Total interest from all sources	2017-12-31	$13,339
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$1,115,282
Participant contributions at end of year	2017-12-31	$93,199
Participant contributions at beginning of year	2017-12-31	$180,790
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$151,780
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$1,573,303
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$9,045,027
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$7,471,724
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$21,512
Value of interest in pooled separate accounts at end of year	2017-12-31	$8,180,189
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$6,607,758
Interest on participant loans	2017-12-31	$4,938
Income. Interest from loans (other than to participants)	2017-12-31	$0
Interest earned on other investments	2017-12-31	$8,401
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$771,639
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$683,176
Net investment gain/loss from pooled separate accounts	2017-12-31	$1,357,084
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$515,008
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,553,453
Contract administrator fees	2017-12-31	$4,225
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	RILEY CPA
Accountancy firm EIN	2017-12-31	760560371
2016 : AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$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	$2,077,272
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$1,373,454
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,337,962
Expenses. Certain deemed distributions of participant loans	2016-12-31	$9,744
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,500,561
Value of total assets at end of year	2016-12-31	$7,471,724
Value of total assets at beginning of year	2016-12-31	$6,767,906
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$25,748
Total interest from all sources	2016-12-31	$22,406
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 year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$976,308
Participant contributions at end of year	2016-12-31	$180,790
Participant contributions at beginning of year	2016-12-31	$191,959
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$60,459
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$703,818
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$7,471,724
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$6,767,906
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$22,648
Value of interest in pooled separate accounts at end of year	2016-12-31	$6,607,758
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$5,559,792
Interest on participant loans	2016-12-31	$9,724
Income. Interest from loans (other than to participants)	2016-12-31	$0
Interest earned on other investments	2016-12-31	$12,682
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$683,176
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$1,016,155
Net investment gain/loss from pooled separate accounts	2016-12-31	$554,305
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$463,794
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,337,962
Contract administrator fees	2016-12-31	$3,100
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	RILEY CPA
Accountancy firm EIN	2016-12-31	760560371
2014 : AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$1,708,136
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$392,633
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$361,540
Expenses. Certain deemed distributions of participant loans	2014-12-31	$6,246
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,551,534
Value of total assets at end of year	2014-12-31	$6,519,236
Value of total assets at beginning of year	2014-12-31	$5,203,733
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$24,847
Total interest from all sources	2014-12-31	$21,078
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 year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$275,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$735,412
Participant contributions at end of year	2014-12-31	$236,640
Participant contributions at beginning of year	2014-12-31	$261,013
Participant contributions at end of year	2014-12-31	$27,220
Participant contributions at beginning of year	2014-12-31	$26,356
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$486,253
Total non interest bearing cash at end of year	2014-12-31	$3,633
Total non interest bearing cash at beginning of year	2014-12-31	$76,880
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$1,315,503
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$6,519,236
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$5,203,733
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$23,022
Value of interest in pooled separate accounts at end of year	2014-12-31	$5,387,135
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$4,233,654
Interest on participant loans	2014-12-31	$10,157
Interest earned on other investments	2014-12-31	$10,921
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$851,320
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$591,566
Net investment gain/loss from pooled separate accounts	2014-12-31	$135,524
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$329,869
Employer contributions (assets) at end of year	2014-12-31	$13,288
Employer contributions (assets) at beginning of year	2014-12-31	$14,264
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$361,540
Contract administrator fees	2014-12-31	$1,825
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	RILEY AND COMPANY PLLC
Accountancy firm EIN	2014-12-31	760560371
2013 : AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$1,228,761
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,103,878
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,090,754
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,039,469
Value of total assets at end of year	2013-12-31	$5,203,733
Value of total assets at beginning of year	2013-12-31	$5,078,850
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$13,124
Total interest from all sources	2013-12-31	$17,742
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 year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$275,000
If this is an individual account plan, was there a blackout period	2013-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$637,367
Participant contributions at end of year	2013-12-31	$261,013
Participant contributions at beginning of year	2013-12-31	$183,191
Participant contributions at end of year	2013-12-31	$26,356
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$129,605
Total non interest bearing cash at end of year	2013-12-31	$76,880
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$124,883
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$5,203,733
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$5,078,850
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Investment advisory and management fees	2013-12-31	$11,524
Value of interest in pooled separate accounts at end of year	2013-12-31	$4,233,654
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$4,895,659
Interest on participant loans	2013-12-31	$9,315
Interest earned on other investments	2013-12-31	$8,427
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$591,566
Net investment gain/loss from pooled separate accounts	2013-12-31	$171,550
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$272,497
Employer contributions (assets) at end of year	2013-12-31	$14,264
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,090,754
Contract administrator fees	2013-12-31	$1,600
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2013-12-31	Yes
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	RILEY AND COMPANY PLLC
Accountancy firm EIN	2013-12-31	760560371
2012 : AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-12-31	$1,681,074
Total of all expenses incurred	2012-12-31	$576,313
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$573,999
Value of total corrective distributions	2012-12-31	$150
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,130,103
Value of total assets at end of year	2012-12-31	$5,078,850
Value of total assets at beginning of year	2012-12-31	$3,974,089
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$2,164
Total interest from all sources	2012-12-31	$3,853
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$275,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$663,498
Participant contributions at end of year	2012-12-31	$183,191
Participant contributions at beginning of year	2012-12-31	$82,722
Participant contributions at beginning of year	2012-12-31	$44,821
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$154,093
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$1,104,761
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$5,078,850
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$3,974,089
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in pooled separate accounts at end of year	2012-12-31	$4,895,659
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$3,822,444
Interest on participant loans	2012-12-31	$3,853
Net investment gain/loss from pooled separate accounts	2012-12-31	$547,118
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$312,512
Employer contributions (assets) at beginning of year	2012-12-31	$24,102
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$573,999
Contract administrator fees	2012-12-31	$2,164
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	RILEY AND COMPANY PLLC
Accountancy firm EIN	2012-12-31	760560371

Form 5500 Responses for AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN

2019: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	Yes
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2014: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	Yes
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	Yes
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: AUSLEY ASSOCIATES, INC. PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
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

Insurance Providers Used on plan

MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 69868 )

Policy contract number

17418

Policy instance

Insurance contract or identification number	17418
Number of Individuals Covered	0
Insurance policy start date	2019-01-01
Insurance policy end date	2019-01-18
Total amount of commissions paid to insurance broker	USD $1,900
Total amount of fees paid to insurance company	USD $0
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $1,900
Insurance broker organization code?	3

MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 69868 )

Policy contract number

17418

Policy instance

Insurance contract or identification number	17418
Number of Individuals Covered	246
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $24,940
Total amount of fees paid to insurance company	USD $0
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $24,940
Insurance broker organization code?	3

MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 69868 )

Policy contract number

17418

Policy instance

Insurance contract or identification number	17418
Number of Individuals Covered	230
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $24,635
Total amount of fees paid to insurance company	USD $0
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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $24,635
Insurance broker organization code?	3
Insurance broker name	INFINEX INVESTMENTS INC

MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 69868 )

Policy contract number

17418

Policy instance

Insurance contract or identification number	17418
Number of Individuals Covered	97
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $20,972
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 69868 )

Policy contract number

17418

Policy instance

Insurance contract or identification number	17418
Number of Individuals Covered	99
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $51,927
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

027897

Policy instance

Insurance contract or identification number	027897
Number of Individuals Covered	123
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $8,607
Total amount of fees paid to insurance company	USD $2,128
Commission paid to Insurance Broker	USD $8,607
Insurance broker organization code?	3
Amount paid for insurance broker fees	2128
Insurance broker name	BENEFIT SYSTEMS, INC.

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Company Name:	AUSLEY ASSOCIATES, INC
Employer identification number (EIN):	541831851
NAIC Classification:	541330
NAIC Description:	Engineering Services

Jurisdiction of Incorporation:	Maryland Secretary of State
Incorporation Date:
Company Identification Number:	F04857876