401k Plan data: THE KEMPTON COMPANY 401(K) PLAN plan

THE KEMPTON COMPANY 401(K) PLAN 401k Plan overview

Plan Name	THE KEMPTON COMPANY 401(K) PLAN
Plan identification number	001

THE KEMPTON COMPANY 401(K) 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

THE KEMPTON COMPANY has sponsored the creation of one or more 401k plans.

Company Name: THE KEMPTON COMPANY

Employer identification number (EIN): 730977441

NAIC Classification: 524290

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE KEMPTON COMPANY 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-07-01 JOSEPH WAYNE KEMPTON 2023-12-14
001 2021-07-01 JOSEPH WAYNE KEMPTON 2023-01-23
001 2017-07-01 JAY KEMPTON 2019-01-23 JAY KEMPTON 2019-01-23
001 2016-07-01 J WAYNE KEMPTON 2018-04-04
001 2016-07-01 J WAYNE KEMPTON 2018-04-03 J WAYNE KEMPTON 2018-04-03
001 2015-07-01 J. WAYNE KEMPTON 2018-04-03
001 2014-07-01 J. WAYNE KEMPTON
001 2013-07-01 J. WAYNE KEMPTON
001 2012-07-01 J. WAYNE KEMPTON
001 2011-07-01 J. WAYNE KEMPTON
001 2010-07-01 J. WAYNE KEMPTON
001 2009-07-01 JAY KEMPTON

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-07-01	JOSEPH WAYNE KEMPTON	2023-12-14
001	2021-07-01	JOSEPH WAYNE KEMPTON	2023-01-23
001	2017-07-01	JAY KEMPTON	2019-01-23	JAY KEMPTON	2019-01-23
001	2016-07-01	J WAYNE KEMPTON	2018-04-04
001	2016-07-01	J WAYNE KEMPTON	2018-04-03	J WAYNE KEMPTON	2018-04-03
001	2015-07-01	J. WAYNE KEMPTON	2018-04-03
001	2014-07-01	J. WAYNE KEMPTON
001	2013-07-01	J. WAYNE KEMPTON
001	2012-07-01	J. WAYNE KEMPTON
001	2011-07-01	J. WAYNE KEMPTON
001	2010-07-01	J. WAYNE KEMPTON
001	2009-07-01	JAY KEMPTON

Plan Statistics for THE KEMPTON COMPANY 401(K) PLAN

401k plan membership statisitcs for THE KEMPTON COMPANY 401(K) PLAN

Measure Date Value
2014: THE KEMPTON COMPANY 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-07-01 33
Total number of active participants reported on line 7a of the Form 5500 2014-07-01 36
Number of retired or separated participants receiving benefits 2014-07-01 0
Number of other retired or separated participants entitled to future benefits 2014-07-01 2
Total of all active and inactive participants 2014-07-01 38
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-07-01 0
Total participants 2014-07-01 38
Number of participants with account balances 2014-07-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-07-01 0
2013: THE KEMPTON COMPANY 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-07-01 31
Total number of active participants reported on line 7a of the Form 5500 2013-07-01 36
Number of retired or separated participants receiving benefits 2013-07-01 0
Number of other retired or separated participants entitled to future benefits 2013-07-01 1
Total of all active and inactive participants 2013-07-01 37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-07-01 0
Total participants 2013-07-01 37
Number of participants with account balances 2013-07-01 17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-07-01 0
2012: THE KEMPTON COMPANY 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-07-01 32
Total number of active participants reported on line 7a of the Form 5500 2012-07-01 32
Number of retired or separated participants receiving benefits 2012-07-01 0
Number of other retired or separated participants entitled to future benefits 2012-07-01 0
Total of all active and inactive participants 2012-07-01 32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-07-01 0
Total participants 2012-07-01 32
Number of participants with account balances 2012-07-01 32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-07-01 0
2011: THE KEMPTON COMPANY 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-07-01 30
Total number of active participants reported on line 7a of the Form 5500 2011-07-01 33
Number of retired or separated participants receiving benefits 2011-07-01 0
Number of other retired or separated participants entitled to future benefits 2011-07-01 1
Total of all active and inactive participants 2011-07-01 34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-07-01 0
Total participants 2011-07-01 34
Number of participants with account balances 2011-07-01 33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-07-01 0
2010: THE KEMPTON COMPANY 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-07-01 34
Total number of active participants reported on line 7a of the Form 5500 2010-07-01 33
Number of retired or separated participants receiving benefits 2010-07-01 0
Number of other retired or separated participants entitled to future benefits 2010-07-01 0
Total of all active and inactive participants 2010-07-01 33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-07-01 0
Total participants 2010-07-01 33
Number of participants with account balances 2010-07-01 19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-07-01 0
2009: THE KEMPTON COMPANY 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-07-01 32
Total number of active participants reported on line 7a of the Form 5500 2009-07-01 32
Number of retired or separated participants receiving benefits 2009-07-01 0
Number of other retired or separated participants entitled to future benefits 2009-07-01 2
Total of all active and inactive participants 2009-07-01 34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-07-01 1
Total participants 2009-07-01 35
Number of participants with account balances 2009-07-01 19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-07-01 0

Measure	Date	Value
2014: THE KEMPTON COMPANY 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-07-01	33
Total number of active participants reported on line 7a of the Form 5500	2014-07-01	36
Number of retired or separated participants receiving benefits	2014-07-01	0
Number of other retired or separated participants entitled to future benefits	2014-07-01	2
Total of all active and inactive participants	2014-07-01	38
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-07-01	0
Total participants	2014-07-01	38
Number of participants with account balances	2014-07-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-07-01	0
2013: THE KEMPTON COMPANY 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-07-01	31
Total number of active participants reported on line 7a of the Form 5500	2013-07-01	36
Number of retired or separated participants receiving benefits	2013-07-01	0
Number of other retired or separated participants entitled to future benefits	2013-07-01	1
Total of all active and inactive participants	2013-07-01	37
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-07-01	0
Total participants	2013-07-01	37
Number of participants with account balances	2013-07-01	17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-07-01	0
2012: THE KEMPTON COMPANY 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-07-01	32
Total number of active participants reported on line 7a of the Form 5500	2012-07-01	32
Number of retired or separated participants receiving benefits	2012-07-01	0
Number of other retired or separated participants entitled to future benefits	2012-07-01	0
Total of all active and inactive participants	2012-07-01	32
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-07-01	0
Total participants	2012-07-01	32
Number of participants with account balances	2012-07-01	32
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-07-01	0
2011: THE KEMPTON COMPANY 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-07-01	30
Total number of active participants reported on line 7a of the Form 5500	2011-07-01	33
Number of retired or separated participants receiving benefits	2011-07-01	0
Number of other retired or separated participants entitled to future benefits	2011-07-01	1
Total of all active and inactive participants	2011-07-01	34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-07-01	0
Total participants	2011-07-01	34
Number of participants with account balances	2011-07-01	33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-07-01	0
2010: THE KEMPTON COMPANY 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-07-01	34
Total number of active participants reported on line 7a of the Form 5500	2010-07-01	33
Number of retired or separated participants receiving benefits	2010-07-01	0
Number of other retired or separated participants entitled to future benefits	2010-07-01	0
Total of all active and inactive participants	2010-07-01	33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-07-01	0
Total participants	2010-07-01	33
Number of participants with account balances	2010-07-01	19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-07-01	0
2009: THE KEMPTON COMPANY 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-07-01	32
Total number of active participants reported on line 7a of the Form 5500	2009-07-01	32
Number of retired or separated participants receiving benefits	2009-07-01	0
Number of other retired or separated participants entitled to future benefits	2009-07-01	2
Total of all active and inactive participants	2009-07-01	34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-07-01	1
Total participants	2009-07-01	35
Number of participants with account balances	2009-07-01	19
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-07-01	0

Financial Data on THE KEMPTON COMPANY 401(K) PLAN

Measure	Date	Value
2015 : THE KEMPTON COMPANY 401(K) PLAN 2015 401k financial data
Transfers to/from the plan	2015-06-30	$0
Total income from all sources	2015-06-30	$189,653
Expenses. Total of all expenses incurred	2015-06-30	$20,050
Benefits paid (including direct rollovers)	2015-06-30	$20,000
Total plan assets at end of year	2015-06-30	$1,805,231
Total plan assets at beginning of year	2015-06-30	$1,635,628
Value of fidelity bond covering the plan	2015-06-30	$500,000
Total contributions received or receivable from participants	2015-06-30	$91,908
Expenses. Other expenses not covered elsewhere	2015-06-30	$50
Contributions received from other sources (not participants or employers)	2015-06-30	$41,367
Other income received	2015-06-30	$56,378
Net income (gross income less expenses)	2015-06-30	$169,603
Net plan assets at end of year (total assets less liabilities)	2015-06-30	$1,805,231
Net plan assets at beginning of year (total assets less liabilities)	2015-06-30	$1,635,628
Assets. Value of participant loans	2015-06-30	$0
Total contributions received or receivable from employer(s)	2015-06-30	$0
Value of certain deemed distributions of participant loans	2015-06-30	$0
Value of corrective distributions	2015-06-30	$0
2014 : THE KEMPTON COMPANY 401(K) PLAN 2014 401k financial data
Transfers to/from the plan	2014-06-30	$0
Total income from all sources	2014-06-30	$255,128
Expenses. Total of all expenses incurred	2014-06-30	$0
Benefits paid (including direct rollovers)	2014-06-30	$0
Total plan assets at end of year	2014-06-30	$1,635,628
Total plan assets at beginning of year	2014-06-30	$1,380,492
Value of fidelity bond covering the plan	2014-06-30	$500,000
Total contributions received or receivable from participants	2014-06-30	$58,428
Expenses. Other expenses not covered elsewhere	2014-06-30	$0
Contributions received from other sources (not participants or employers)	2014-06-30	$0
Other income received	2014-06-30	$196,700
Net income (gross income less expenses)	2014-06-30	$255,128
Net plan assets at end of year (total assets less liabilities)	2014-06-30	$1,635,628
Net plan assets at beginning of year (total assets less liabilities)	2014-06-30	$1,380,492
Total contributions received or receivable from employer(s)	2014-06-30	$0
Value of certain deemed distributions of participant loans	2014-06-30	$0
Value of corrective distributions	2014-06-30	$0
2013 : THE KEMPTON COMPANY 401(K) PLAN 2013 401k financial data
Transfers to/from the plan	2013-06-30	$0
Total income from all sources	2013-06-30	$205,731
Expenses. Total of all expenses incurred	2013-06-30	$64,126
Benefits paid (including direct rollovers)	2013-06-30	$60,802
Total plan assets at end of year	2013-06-30	$1,380,492
Total plan assets at beginning of year	2013-06-30	$1,238,887
Value of fidelity bond covering the plan	2013-06-30	$500,000
Total contributions received or receivable from participants	2013-06-30	$59,712
Expenses. Other expenses not covered elsewhere	2013-06-30	$50
Contributions received from other sources (not participants or employers)	2013-06-30	$0
Other income received	2013-06-30	$146,019
Net income (gross income less expenses)	2013-06-30	$141,605
Net plan assets at end of year (total assets less liabilities)	2013-06-30	$1,380,492
Net plan assets at beginning of year (total assets less liabilities)	2013-06-30	$1,238,887
Total contributions received or receivable from employer(s)	2013-06-30	$0
Value of certain deemed distributions of participant loans	2013-06-30	$0
Value of corrective distributions	2013-06-30	$3,274
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-06-30	$0
2012 : THE KEMPTON COMPANY 401(K) PLAN 2012 401k financial data
Transfers to/from the plan	2012-06-30	$0
Total income from all sources	2012-06-30	$86,220
Expenses. Total of all expenses incurred	2012-06-30	$2,014
Benefits paid (including direct rollovers)	2012-06-30	$1,989
Total plan assets at end of year	2012-06-30	$1,238,887
Total plan assets at beginning of year	2012-06-30	$1,154,681
Value of fidelity bond covering the plan	2012-06-30	$500,000
Total contributions received or receivable from participants	2012-06-30	$70,956
Expenses. Other expenses not covered elsewhere	2012-06-30	$25
Contributions received from other sources (not participants or employers)	2012-06-30	$0
Other income received	2012-06-30	$15,264
Net income (gross income less expenses)	2012-06-30	$84,206
Net plan assets at end of year (total assets less liabilities)	2012-06-30	$1,238,887
Net plan assets at beginning of year (total assets less liabilities)	2012-06-30	$1,154,681
Total contributions received or receivable from employer(s)	2012-06-30	$0
Value of certain deemed distributions of participant loans	2012-06-30	$0
Value of corrective distributions	2012-06-30	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-06-30	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-06-30	$0
2011 : THE KEMPTON COMPANY 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-06-30	$248,582
Expenses. Total of all expenses incurred	2011-06-30	$107,122
Benefits paid (including direct rollovers)	2011-06-30	$107,122
Total plan assets at end of year	2011-06-30	$1,154,681
Total plan assets at beginning of year	2011-06-30	$1,013,221
Value of fidelity bond covering the plan	2011-06-30	$500,000
Total contributions received or receivable from participants	2011-06-30	$64,488
Expenses. Other expenses not covered elsewhere	2011-06-30	$0
Contributions received from other sources (not participants or employers)	2011-06-30	$0
Other income received	2011-06-30	$184,094
Net income (gross income less expenses)	2011-06-30	$141,460
Net plan assets at end of year (total assets less liabilities)	2011-06-30	$1,154,681
Net plan assets at beginning of year (total assets less liabilities)	2011-06-30	$1,013,221
Total contributions received or receivable from employer(s)	2011-06-30	$0
Value of certain deemed distributions of participant loans	2011-06-30	$0
Value of corrective distributions	2011-06-30	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-06-30	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-06-30	$0
2010 : THE KEMPTON COMPANY 401(K) PLAN 2010 401k financial data
Funding deficiency by the employer to the plan for this plan year	2010-06-30	$0
Minimum employer required contribution for this plan year	2010-06-30	$0
Amount contributed by the employer to the plan for this plan year	2010-06-30	$0

Form 5500 Responses for THE KEMPTON COMPANY 401(K) PLAN

2014: THE KEMPTON COMPANY 401(K) PLAN 2014 form 5500 responses
2014-07-01	Type of plan entity	Single employer plan
2014-07-01	Submission has been amended	Yes
2014-07-01	This submission is the final filing	No
2014-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-07-01	Plan is a collectively bargained plan	No
2014-07-01	Plan funding arrangement – Insurance	Yes
2014-07-01	Plan funding arrangement – Trust	Yes
2014-07-01	Plan benefit arrangement – Insurance	Yes
2013: THE KEMPTON COMPANY 401(K) PLAN 2013 form 5500 responses
2013-07-01	Type of plan entity	Single employer plan
2013-07-01	Submission has been amended	Yes
2013-07-01	This submission is the final filing	No
2013-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-07-01	Plan is a collectively bargained plan	No
2013-07-01	Plan funding arrangement – Insurance	Yes
2013-07-01	Plan funding arrangement – Trust	Yes
2013-07-01	Plan benefit arrangement – Insurance	Yes
2012: THE KEMPTON COMPANY 401(K) PLAN 2012 form 5500 responses
2012-07-01	Type of plan entity	Single employer plan
2012-07-01	Submission has been amended	Yes
2012-07-01	This submission is the final filing	No
2012-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-07-01	Plan is a collectively bargained plan	No
2012-07-01	Plan funding arrangement – Insurance	Yes
2012-07-01	Plan funding arrangement – Trust	Yes
2012-07-01	Plan benefit arrangement – Insurance	Yes
2011: THE KEMPTON COMPANY 401(K) PLAN 2011 form 5500 responses
2011-07-01	Type of plan entity	Single employer plan
2011-07-01	Submission has been amended	Yes
2011-07-01	This submission is the final filing	No
2011-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-07-01	Plan is a collectively bargained plan	No
2011-07-01	Plan funding arrangement – Insurance	Yes
2011-07-01	Plan funding arrangement – Trust	Yes
2011-07-01	Plan benefit arrangement – Insurance	Yes
2010: THE KEMPTON COMPANY 401(K) PLAN 2010 form 5500 responses
2010-07-01	Type of plan entity	Single employer plan
2010-07-01	Submission has been amended	Yes
2010-07-01	This submission is the final filing	No
2010-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-07-01	Plan is a collectively bargained plan	No
2010-07-01	Plan funding arrangement – Insurance	Yes
2010-07-01	Plan funding arrangement – Trust	Yes
2010-07-01	Plan benefit arrangement – Insurance	Yes
2009: THE KEMPTON COMPANY 401(K) PLAN 2009 form 5500 responses
2009-07-01	Type of plan entity	Single employer plan
2009-07-01	Submission has been amended	No
2009-07-01	This submission is the final filing	No
2009-07-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-07-01	Plan is a collectively bargained plan	No
2009-07-01	Plan funding arrangement – Insurance	Yes
2009-07-01	Plan funding arrangement – Trust	Yes
2009-07-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

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

Policy contract number

GA-824772

Policy instance

Insurance contract or identification number	GA-824772
Number of Individuals Covered	17
Insurance policy start date	2013-07-01
Insurance policy end date	2014-06-30
Total amount of commissions paid to insurance broker	USD $4,384
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?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
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 $4,384
Insurance broker organization code?	3
Insurance broker name	EDWARD D. JONES & CO

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

Policy contract number

GA-824772

Policy instance

Insurance contract or identification number	GA-824772
Number of Individuals Covered	32
Insurance policy start date	2012-07-01
Insurance policy end date	2013-06-30
Total amount of commissions paid to insurance broker	USD $3,770
Total amount of fees paid to insurance company	USD $619
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?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
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 $3,770
Amount paid for insurance broker fees	619
Additional information about fees paid to insurance broker	SALES/MARKETING
Insurance broker organization code?	3
Insurance broker name	EDWARD D. JONES & CO

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

Policy contract number

GA-824772

Policy instance

Insurance contract or identification number	GA-824772
Number of Individuals Covered	33
Insurance policy start date	2011-07-01
Insurance policy end date	2012-06-30
Total amount of commissions paid to insurance broker	USD $3,619
Total amount of fees paid to insurance company	USD $1,150
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?	Yes
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 $3,619
Amount paid for insurance broker fees	1150
Additional information about fees paid to insurance broker	SALES/MARKETING
Insurance broker organization code?	3
Insurance broker name	EDWARD D. JONES & CO

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

Policy contract number

GA-824772

Policy instance

Insurance contract or identification number	GA-824772
Number of Individuals Covered	19
Insurance policy start date	2010-07-01
Insurance policy end date	2011-06-30
Total amount of commissions paid to insurance broker	USD $658
Total amount of fees paid to insurance company	USD $71
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?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
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 $658
Amount paid for insurance broker fees	71
Additional information about fees paid to insurance broker	SALES/MARKETING
Insurance broker organization code?	3
Insurance broker name	EDWARD D. JONES & CO

Potentially related plans

THE KEMPTON COMPANY 401(K) PLAN [EIN = 730977442]

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Company Name:	THE KEMPTON COMPANY
Employer identification number (EIN):	730977441
NAIC Classification:	524290