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POWELL COMPANIES 401(K) PLAN 401k Plan overview

Plan NamePOWELL COMPANIES 401(K) PLAN
Plan identification number 333

POWELL COMPANIES 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

POWELL CONSTRUCTION COMPANY, INC. has sponsored the creation of one or more 401k plans.

Company Name:POWELL CONSTRUCTION COMPANY, INC.
Employer identification number (EIN):620805836
NAIC Classification:237990
NAIC Description:Other Heavy and Civil Engineering Construction

Form 5500 Filing Information

Submission information for form 5500 for 401k plan POWELL COMPANIES 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
3332017-01-01CATHY ESSIN2018-01-16
3332017-01-01
3332017-01-01
3332017-01-01
3332017-01-01
3332017-01-01CATHY ESSIN2018-01-16
3332017-01-01CATHY ESSIN2018-01-16
3332017-01-01
3332017-01-01
3332017-01-01
3332017-01-01
3332016-01-01CATHY ESSIN
3332015-01-01CATHY ESSIN
3332014-01-01CATHY ESSIN
3332014-01-01CATHY ESSIN
3332013-01-01JOHN W. HUTCHINSON
3332012-01-01JOHN W. HUTCHINSON
3332011-01-01JOHN W. HUTCHINSON
3332010-01-01JOHN W. HUTCHINSON JOHN W. HUTCHINSON2011-09-29

Plan Statistics for POWELL COMPANIES 401(K) PLAN

401k plan membership statisitcs for POWELL COMPANIES 401(K) PLAN

Measure Date Value
2017: POWELL COMPANIES 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01244
Total number of active participants reported on line 7a of the Form 55002017-01-010
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-010
Total of all active and inactive participants2017-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-010
Number of participants with account balances2017-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: POWELL COMPANIES 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01262
Total number of active participants reported on line 7a of the Form 55002016-01-01141
Number of retired or separated participants receiving benefits2016-01-013
Number of other retired or separated participants entitled to future benefits2016-01-01100
Total of all active and inactive participants2016-01-01244
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01244
Number of participants with account balances2016-01-01133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-013
2015: POWELL COMPANIES 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01262
Total number of active participants reported on line 7a of the Form 55002015-01-01209
Number of retired or separated participants receiving benefits2015-01-012
Number of other retired or separated participants entitled to future benefits2015-01-0150
Total of all active and inactive participants2015-01-01261
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-011
Total participants2015-01-01262
Number of participants with account balances2015-01-01154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-014
2014: POWELL COMPANIES 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01294
Total number of active participants reported on line 7a of the Form 55002014-01-01230
Number of retired or separated participants receiving benefits2014-01-012
Number of other retired or separated participants entitled to future benefits2014-01-0157
Total of all active and inactive participants2014-01-01289
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-011
Total participants2014-01-01290
Number of participants with account balances2014-01-01180
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-014
2013: POWELL COMPANIES 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01298
Total number of active participants reported on line 7a of the Form 55002013-01-01244
Number of retired or separated participants receiving benefits2013-01-011
Number of other retired or separated participants entitled to future benefits2013-01-0157
Total of all active and inactive participants2013-01-01302
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01302
Number of participants with account balances2013-01-01184
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-013
2012: POWELL COMPANIES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01362
Total number of active participants reported on line 7a of the Form 55002012-01-01243
Number of retired or separated participants receiving benefits2012-01-011
Number of other retired or separated participants entitled to future benefits2012-01-0170
Total of all active and inactive participants2012-01-01314
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01314
Number of participants with account balances2012-01-01244
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0172
2011: POWELL COMPANIES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01385
Total number of active participants reported on line 7a of the Form 55002011-01-01323
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-010
Total of all active and inactive participants2011-01-01323
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01323
Number of participants with account balances2011-01-01251
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: POWELL COMPANIES 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01428
Total number of active participants reported on line 7a of the Form 55002010-01-01313
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-0131
Total of all active and inactive participants2010-01-01344
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01344
Number of participants with account balances2010-01-01344
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010

Financial Data on POWELL COMPANIES 401(K) PLAN

Measure Date Value
2017 : POWELL COMPANIES 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-03-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-03-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-03-31$0
Total income from all sources (including contributions)2017-03-31$212,307
Total loss/gain on sale of assets2017-03-31$0
Total of all expenses incurred2017-03-31$8,691,245
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-03-31$8,677,607
Value of total corrective distributions2017-03-31$6,982
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-03-31$2,780
Value of total assets at end of year2017-03-31$0
Value of total assets at beginning of year2017-03-31$8,478,938
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-03-31$6,656
Total interest from all sources2017-03-31$22,688
Total dividends received (eg from common stock, registered investment company shares)2017-03-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-03-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2017-03-31$0
Administrative expenses professional fees incurred2017-03-31$1,078
Was this plan covered by a fidelity bond2017-03-31Yes
Value of fidelity bond cover2017-03-31$500,000
If this is an individual account plan, was there a blackout period2017-03-31No
Were there any nonexempt tranactions with any party-in-interest2017-03-31No
Contributions received from participants2017-03-31$2,277
Participant contributions at end of year2017-03-31$0
Participant contributions at beginning of year2017-03-31$208,758
Administrative expenses (other) incurred2017-03-31$5,578
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-03-31No
Value of net income/loss2017-03-31$-8,478,938
Value of net assets at end of year (total assets less liabilities)2017-03-31$0
Value of net assets at beginning of year (total assets less liabilities)2017-03-31$8,478,938
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-03-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-03-31No
Were any leases to which the plan was party in default or uncollectible2017-03-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-03-31$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-03-31$4,477,067
Interest on participant loans2017-03-31$1,830
Interest earned on other investments2017-03-31$20,858
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-03-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-03-31$3,793,113
Net investment gain/loss from pooled separate accounts2017-03-31$186,839
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-03-31No
Was there a failure to transmit to the plan any participant contributions2017-03-31No
Has the plan failed to provide any benefit when due under the plan2017-03-31No
Contributions received in cash from employer2017-03-31$503
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-03-31$8,677,607
Did the plan have assets held for investment2017-03-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-03-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-03-31Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-03-31Yes
Opinion of an independent qualified public accountant for this plan2017-03-31Disclaimer
Accountancy firm name2017-03-31RODEFER, MOSS & CO. PLLC
Accountancy firm EIN2017-03-31621690032
2016 : POWELL COMPANIES 401(K) PLAN 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$924,830
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$1,704,994
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$1,663,650
Expenses. Certain deemed distributions of participant loans2016-12-31$40,061
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$311,539
Value of total assets at end of year2016-12-31$8,478,938
Value of total assets at beginning of year2016-12-31$9,259,102
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$1,283
Total interest from all sources2016-12-31$140,962
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
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
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$254,237
Participant contributions at end of year2016-12-31$208,758
Participant contributions at beginning of year2016-12-31$197,918
Other income not declared elsewhere2016-12-31$78,223
Administrative expenses (other) incurred2016-12-31$1,283
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$-780,164
Value of net assets at end of year (total assets less liabilities)2016-12-31$8,478,938
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$9,259,102
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$3,793,113
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$4,484,664
Interest on participant loans2016-12-31$8,029
Interest earned on other investments2016-12-31$132,933
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$4,477,067
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$4,576,520
Net investment gain/loss from pooled separate accounts2016-12-31$394,106
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 contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$57,302
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$1,663,650
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
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 name2016-12-31RODEFER, MOSS & CO. PLLC
Accountancy firm EIN2016-12-31621690032
2015 : POWELL COMPANIES 401(K) PLAN 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$0
Total income from all sources (including contributions)2015-12-31$671,980
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$2,356,387
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$2,309,064
Expenses. Certain deemed distributions of participant loans2015-12-31$28,704
Value of total corrective distributions2015-12-31$8,768
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$655,908
Value of total assets at end of year2015-12-31$9,259,102
Value of total assets at beginning of year2015-12-31$10,943,509
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$9,851
Total interest from all sources2015-12-31$147,950
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$278,343
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$278,343
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$452,065
Participant contributions at end of year2015-12-31$197,918
Participant contributions at beginning of year2015-12-31$188,750
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$94,349
Other income not declared elsewhere2015-12-31$417
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-1,684,407
Value of net assets at end of year (total assets less liabilities)2015-12-31$9,259,102
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$10,943,509
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$4,484,664
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$6,109,140
Interest on participant loans2015-12-31$6,383
Interest earned on other investments2015-12-31$141,567
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$4,576,520
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$4,645,619
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-410,638
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
Contributions received in cash from employer2015-12-31$109,494
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$2,309,064
Contract administrator fees2015-12-31$9,851
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 name2015-12-31RODEFER, MOSS & CO. PLLC
Accountancy firm EIN2015-12-31621690032
2014 : POWELL COMPANIES 401(K) PLAN 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$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$1,199,494
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$1,202,560
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$1,160,052
Expenses. Certain deemed distributions of participant loans2014-12-31$1,997
Value of total corrective distributions2014-12-31$29,181
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$649,193
Value of total assets at end of year2014-12-31$10,943,509
Value of total assets at beginning of year2014-12-31$10,946,575
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$11,330
Total interest from all sources2014-12-31$145,871
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
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$1,000,000
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$515,748
Participant contributions at end of year2014-12-31$188,750
Participant contributions at beginning of year2014-12-31$131,372
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$14,183
Other income not declared elsewhere2014-12-31$2,038
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-3,066
Value of net assets at end of year (total assets less liabilities)2014-12-31$10,943,509
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$10,946,575
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$6,109,140
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$5,937,039
Interest on participant loans2014-12-31$5,123
Interest earned on other investments2014-12-31$140,748
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$4,645,619
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$4,878,164
Net investment gain/loss from pooled separate accounts2014-12-31$402,392
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
Contributions received in cash from employer2014-12-31$119,262
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$1,160,052
Contract administrator fees2014-12-31$11,330
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 name2014-12-31RODEFER, MOSS & CO. PLLC
Accountancy firm EIN2014-12-31621690032
2013 : POWELL COMPANIES 401(K) PLAN 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$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$1,990,594
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$1,094,845
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$1,070,125
Value of total corrective distributions2013-12-31$19,748
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$699,657
Value of total assets at end of year2013-12-31$10,946,575
Value of total assets at beginning of year2013-12-31$10,050,826
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$4,972
Total interest from all sources2013-12-31$143,385
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
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$1,000,000
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$569,114
Participant contributions at end of year2013-12-31$131,372
Participant contributions at beginning of year2013-12-31$133,815
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$895,749
Value of net assets at end of year (total assets less liabilities)2013-12-31$10,946,575
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$10,050,826
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$5,937,039
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$5,179,250
Interest on participant loans2013-12-31$5,296
Interest earned on other investments2013-12-31$138,089
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$4,878,164
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$4,737,761
Net investment gain/loss from pooled separate accounts2013-12-31$1,147,552
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
Contributions received in cash from employer2013-12-31$130,543
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$1,070,125
Contract administrator fees2013-12-31$4,972
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 name2013-12-31RODEFER, MOSS & CO. PLLC
Accountancy firm EIN2013-12-31621690032
2012 : POWELL COMPANIES 401(K) PLAN 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$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$2,326,146
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$4,324,000
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$4,285,327
Value of total corrective distributions2012-12-31$35,858
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,340,389
Value of total assets at end of year2012-12-31$10,050,826
Value of total assets at beginning of year2012-12-31$12,048,680
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$2,815
Total interest from all sources2012-12-31$185,625
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
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$1,000,000
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$864,909
Participant contributions at end of year2012-12-31$133,815
Participant contributions at beginning of year2012-12-31$310,937
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$303,181
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$-1,997,854
Value of net assets at end of year (total assets less liabilities)2012-12-31$10,050,826
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$12,048,680
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 registered invesment companies (eg mutual funds) at end of year2012-12-31$5,179,250
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$6,018,252
Interest on participant loans2012-12-31$10,126
Interest earned on other investments2012-12-31$175,499
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$4,737,761
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$5,719,491
Net investment gain/loss from pooled separate accounts2012-12-31$800,132
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
Contributions received in cash from employer2012-12-31$172,299
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$4,285,327
Contract administrator fees2012-12-31$2,815
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 name2012-12-31RODEFER, MOSS & CO., PLLC
Accountancy firm EIN2012-12-31621690032
2011 : POWELL COMPANIES 401(K) PLAN 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$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$1,019,235
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$773,294
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$752,889
Value of total corrective distributions2011-12-31$14,940
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,143,151
Value of total assets at end of year2011-12-31$12,048,680
Value of total assets at beginning of year2011-12-31$11,802,739
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$5,465
Total interest from all sources2011-12-31$183,417
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
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$1,000,000
If this is an individual account plan, was there a blackout period2011-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$928,918
Participant contributions at end of year2011-12-31$310,937
Participant contributions at beginning of year2011-12-31$232,797
Administrative expenses (other) incurred2011-12-31$5,465
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$245,941
Value of net assets at end of year (total assets less liabilities)2011-12-31$12,048,680
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$11,802,739
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 registered invesment companies (eg mutual funds) at end of year2011-12-31$6,018,252
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$6,038,818
Interest on participant loans2011-12-31$15,802
Interest earned on other investments2011-12-31$167,615
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$5,719,491
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$5,531,124
Net investment gain/loss from pooled separate accounts2011-12-31$-307,333
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
Contributions received in cash from employer2011-12-31$214,233
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$752,889
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 name2011-12-31RODEFER, MOSS & CO, PLLC
Accountancy firm EIN2011-12-31621690032
2010 : POWELL COMPANIES 401(K) PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$0
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total transfer of assets to this plan2010-12-31$0
Total transfer of assets from this plan2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$2,103,538
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$554,270
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$514,583
Expenses. Certain deemed distributions of participant loans2010-12-31$10,167
Value of total corrective distributions2010-12-31$27,518
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,209,437
Value of total assets at end of year2010-12-31$11,802,739
Value of total assets at beginning of year2010-12-31$10,253,471
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$2,002
Total interest from all sources2010-12-31$177,408
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
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$1,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Funding deficiency by the employer to the plan for this plan year2010-12-31$0
Minimum employer required contribution for this plan year2010-12-31$0
Amount contributed by the employer to the plan for this plan year2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$946,129
Participant contributions at end of year2010-12-31$232,797
Participant contributions at beginning of year2010-12-31$241,479
Assets. Other investments not covered elsewhere at end of year2010-12-31$0
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$42,883
Other income not declared elsewhere2010-12-31$0
Administrative expenses (other) incurred2010-12-31$2,002
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
Income. Non cash contributions2010-12-31$0
Value of net income/loss2010-12-31$1,549,268
Value of net assets at end of year (total assets less liabilities)2010-12-31$11,802,739
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$10,253,471
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 registered invesment companies (eg mutual funds) at end of year2010-12-31$6,038,818
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$4,884,656
Value of interest in pooled separate accounts at end of year2010-12-31$0
Value of interest in pooled separate accounts at beginning of year2010-12-31$0
Interest on participant loans2010-12-31$15,984
Interest earned on other investments2010-12-31$161,424
Value of interest in common/collective trusts at end of year2010-12-31$0
Value of interest in common/collective trusts at beginning of year2010-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$5,531,124
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$5,127,336
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$0
Net investment gain/loss from pooled separate accounts2010-12-31$716,693
Net investment gain or loss from common/collective trusts2010-12-31$0
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
Assets. Invements in employer securities at end of year2010-12-31$0
Assets. Invements in employer securities at beginning of year2010-12-31$0
Contributions received in cash from employer2010-12-31$220,425
Income. Dividends from common stock2010-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$514,583
Asset. Corporate debt instrument debt (other) at end of year2010-12-31$0
Asset. Corporate debt instrument debt (other) at beginning of year2010-12-31$0
Assets. Corporate common stocks other than exployer securities at end of year2010-12-31$0
Assets. Corporate common stocks other than exployer securities at beginning of year2010-12-31$0
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 name2010-12-31RODEFER, MOSS & CO, PLLC
Accountancy firm EIN2010-12-31621690032

Form 5500 Responses for POWELL COMPANIES 401(K) PLAN

2017: POWELL COMPANIES 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedYes
2017-01-01This submission is the final filingYes
2017-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2016: POWELL COMPANIES 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2015: POWELL COMPANIES 401(K) PLAN 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 – InsuranceYes
2014: POWELL COMPANIES 401(K) PLAN 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 – InsuranceYes
2013: POWELL COMPANIES 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entityMulitple 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 – InsuranceYes
2012: POWELL COMPANIES 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entityMulitple 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 – InsuranceYes
2011: POWELL COMPANIES 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entityMulitple 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 – InsuranceYes
2010: POWELL COMPANIES 401(K) PLAN 2010 form 5500 responses
2010-01-01Type of plan entityMulitple 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 – InsuranceYes

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-826713
Policy instance 1
Insurance contract or identification numberGA-826713
Number of Individuals Covered154
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $29,260
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
Commission paid to Insurance BrokerUSD $29,260
Insurance broker organization code?3
Insurance broker nameFTB ADVISORS INC
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-826713
Policy instance 1
Insurance contract or identification numberGA-826713
Number of Individuals Covered180
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $30,015
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
Commission paid to Insurance BrokerUSD $30,015
Insurance broker organization code?3
Insurance broker nameFTB ADVISORS INC
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-710022
Policy instance 1
Insurance contract or identification numberGA-710022
Number of Individuals Covered184
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $28,607
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
Commission paid to Insurance BrokerUSD $28,607
Insurance broker organization code?3
Insurance broker nameFTB ADVISORS INC
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-710022
Policy instance 1
Insurance contract or identification numberGA-710022
Number of Individuals Covered244
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $37,298
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
Commission paid to Insurance BrokerUSD $37,298
Insurance broker organization code?3
Insurance broker nameFIRST TENNESSEE BROKERAGE
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-710022
Policy instance 1
Insurance contract or identification numberGA-710022
Number of Individuals Covered0
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
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
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-826713
Policy instance 2
Insurance contract or identification numberGA-826713
Number of Individuals Covered251
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $17,508
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
HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )
Policy contract numberGA-710022
Policy instance 1
Insurance contract or identification numberGA-710022
Number of Individuals Covered344
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $30,980
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
Commission paid to Insurance BrokerUSD $15,744
Insurance broker organization code?3
Insurance broker nameNETWORK AGENCY INC

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