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VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 401k Plan overview

Plan NameVALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN
Plan identification number 001

VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING 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.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. has sponsored the creation of one or more 401k plans.

Company Name:VALLEY ANESTHESIOLOGY CONSULTANTS, LTD.
Employer identification number (EIN):860621497
NAIC Classification:621111
NAIC Description:Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012018-01-01
0012017-01-01
0012017-01-01
0012016-01-01
0012016-01-01BRIAN SCHNEIDER2017-10-16
0012016-01-01BRIAN SCHNEIDER2017-10-16
0012015-01-01BRIAN SCHNEIDER
0012015-01-01BRIAN SCHNEIDER
0012014-01-01BRIAN SCHNEIDER
0012013-01-01BRIAN SCHNEIDER
0012012-01-01MICHAEL DUPUY
0012011-01-01MICHAEL DUPUY
0012009-01-01MICHAEL DUPUY

Plan Statistics for VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN

401k plan membership statisitcs for VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN

Measure Date Value
2017: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01213
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 benefits2017-01-0110
Total of all active and inactive participants2017-01-0110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-0110
Number of participants with account balances2017-01-0110
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-010
2016: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01431
Total number of active participants reported on line 7a of the Form 55002016-01-010
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-01207
Total of all active and inactive participants2016-01-01207
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01207
Number of participants with account balances2016-01-01207
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01433
Total number of active participants reported on line 7a of the Form 55002015-01-010
Number of retired or separated participants receiving benefits2015-01-0114
Number of other retired or separated participants entitled to future benefits2015-01-01420
Total of all active and inactive participants2015-01-01434
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01434
Number of participants with account balances2015-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-013
2014: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01390
Total number of active participants reported on line 7a of the Form 55002014-01-01399
Number of retired or separated participants receiving benefits2014-01-013
Number of other retired or separated participants entitled to future benefits2014-01-0128
Total of all active and inactive participants2014-01-01430
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01430
Number of participants with account balances2014-01-01429
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-010
2013: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01375
Total number of active participants reported on line 7a of the Form 55002013-01-01369
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0126
Total of all active and inactive participants2013-01-01395
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01395
Number of participants with account balances2013-01-01395
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01361
Total number of active participants reported on line 7a of the Form 55002012-01-01346
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0128
Total of all active and inactive participants2012-01-01374
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01374
Number of participants with account balances2012-01-01374
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01354
Total number of active participants reported on line 7a of the Form 55002011-01-01330
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0132
Total of all active and inactive participants2011-01-01362
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01362
Number of participants with account balances2011-01-01362
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-019
2009: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01348
Total number of active participants reported on line 7a of the Form 55002009-01-01347
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0139
Total of all active and inactive participants2009-01-01386
Total participants2009-01-01386
Number of participants with account balances2009-01-01336
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN

Measure Date Value
2017 : VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$82,615
Total unrealized appreciation/depreciation of assets2017-12-31$82,615
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$112,435
Total income from all sources (including contributions)2017-12-31$1,008,585
Total loss/gain on sale of assets2017-12-31$93,770
Total of all expenses incurred2017-12-31$47,322,810
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$47,297,302
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$0
Value of total assets at end of year2017-12-31$58,583
Value of total assets at beginning of year2017-12-31$46,485,243
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$25,508
Total interest from all sources2017-12-31$12,315
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$92,004
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2017-12-31$0
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$65,534
Assets. Real estate other than employer real property at beginning of year2017-12-31$68,214
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$1,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Participant contributions at beginning of year2017-12-31$14,825
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$2,664,867
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$23
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$23
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2017-12-31$1,081
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2017-12-31$112,435
Other income not declared elsewhere2017-12-31$1,478
Administrative expenses (other) incurred2017-12-31$520
Total non interest bearing cash at end of year2017-12-31$920
Total non interest bearing cash at beginning of year2017-12-31$87,440
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$-46,314,225
Value of net assets at end of year (total assets less liabilities)2017-12-31$58,583
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$46,372,808
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Assets. partnership/joint venture interests at beginning of year2017-12-31$851,496
Investment advisory and management fees2017-12-31$17,188
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$8
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$22,986,552
Interest earned on other investments2017-12-31$5,741
Income. Interest from corporate debt instruments2017-12-31$5,068
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$41
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-12-31$8,846,620
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-12-31$8,846,620
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$1,506
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$853,388
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$726,403
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Employer contributions (assets) at end of year2017-12-31$57,632
Employer contributions (assets) at beginning of year2017-12-31$52,602
Income. Dividends from preferred stock2017-12-31$113
Income. Dividends from common stock2017-12-31$26,357
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$47,297,302
Asset. Corporate debt instrument debt (other) at beginning of year2017-12-31$983,351
Contract administrator fees2017-12-31$8,320
Assets. Corporate common stocks other than exployer securities at beginning of year2017-12-31$9,075,865
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Aggregate proceeds on sale of assets2017-12-31$93,770
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31TULL FORSBERG & OLSON
Accountancy firm EIN2017-12-31860130568
2016 : VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets2016-12-31$1,868,863
Total unrealized appreciation/depreciation of assets2016-12-31$1,868,863
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$112,435
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$119,342
Total income from all sources (including contributions)2016-12-31$9,685,886
Total loss/gain on sale of assets2016-12-31$2,660,507
Total of all expenses incurred2016-12-31$123,866,733
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$123,378,609
Expenses. Certain deemed distributions of participant loans2016-12-31$7,163
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$13,411
Value of total assets at end of year2016-12-31$46,485,243
Value of total assets at beginning of year2016-12-31$160,672,997
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$480,961
Total interest from all sources2016-12-31$214,109
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$2,419,756
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2016-12-31$0
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$1,715,155
Assets. Real estate other than employer real property at end of year2016-12-31$68,214
Assets. Real estate other than employer real property at beginning of year2016-12-31$517,415
Administrative expenses professional fees incurred2016-12-31$7,990
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$1,000,000
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$0
Participant contributions at end of year2016-12-31$14,825
Participant contributions at beginning of year2016-12-31$544,514
Assets. Other investments not covered elsewhere at end of year2016-12-31$2,664,867
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$5,076,380
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$13,411
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$23
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-12-31$112,435
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-12-31$119,342
Other income not declared elsewhere2016-12-31$175,050
Administrative expenses (other) incurred2016-12-31$8,360
Total non interest bearing cash at end of year2016-12-31$87,440
Total non interest bearing cash at beginning of year2016-12-31$984
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$-114,180,847
Value of net assets at end of year (total assets less liabilities)2016-12-31$46,372,808
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$160,553,655
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
Assets. partnership/joint venture interests at end of year2016-12-31$851,496
Assets. partnership/joint venture interests at beginning of year2016-12-31$767,115
Investment advisory and management fees2016-12-31$464,611
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$22,986,552
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$87,087,189
Interest on participant loans2016-12-31$15,109
Interest earned on other investments2016-12-31$23,071
Income. Interest from US Government securities2016-12-31$61,569
Income. Interest from corporate debt instruments2016-12-31$104,333
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$8,846,620
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$17,593,787
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$17,593,787
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-12-31$10,027
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$853,388
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$3,160,396
Asset value of US Government securities at end of year2016-12-31$0
Asset value of US Government securities at beginning of year2016-12-31$2,421,196
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$2,314,770
Net investment gain or loss from common/collective trusts2016-12-31$19,420
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$0
Employer contributions (assets) at end of year2016-12-31$52,602
Employer contributions (assets) at beginning of year2016-12-31$86,286
Income. Dividends from preferred stock2016-12-31$554
Income. Dividends from common stock2016-12-31$704,047
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$123,378,609
Asset. Corporate debt instrument debt (other) at end of year2016-12-31$983,351
Asset. Corporate debt instrument debt (other) at beginning of year2016-12-31$5,281,160
Contract administrator fees2016-12-31$0
Assets. Corporate common stocks other than exployer securities at end of year2016-12-31$9,075,865
Assets. Corporate common stocks other than exployer securities at beginning of year2016-12-31$38,136,575
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
Aggregate proceeds on sale of assets2016-12-31$2,660,507
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31TULL FORSBERG & OLSON
Accountancy firm EIN2016-12-31860130568
2015 : VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets2015-12-31$-2,426,003
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$-2,690,503
Total unrealized appreciation/depreciation of assets2015-12-31$-2,426,003
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$174,991
Total income from all sources (including contributions)2015-12-31$10,020,148
Total loss/gain on sale of assets2015-12-31$378,233
Total of all expenses incurred2015-12-31$3,688,106
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$3,682,316
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$11,467,337
Value of total assets at end of year2015-12-31$168,301,696
Value of total assets at beginning of year2015-12-31$162,144,645
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$5,790
Total interest from all sources2015-12-31$44,314
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$1,624,457
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2015-12-31$0
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$1,624,457
Assets. Real estate other than employer real property at end of year2015-12-31$517,415
Assets. Real estate other than employer real property at beginning of year2015-12-31$507,789
Administrative expenses professional fees incurred2015-12-31$5,790
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$1,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$4,402,581
Participant contributions at end of year2015-12-31$544,514
Participant contributions at beginning of year2015-12-31$1,222,313
Participant contributions at beginning of year2015-12-31$3,351
Assets. Other investments not covered elsewhere at end of year2015-12-31$5,076,380
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$9,077,253
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$28,168
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2015-12-31$119,342
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$174,991
Other income not declared elsewhere2015-12-31$11,297
Administrative expenses (other) incurred2015-12-31$9,596
Total non interest bearing cash at end of year2015-12-31$984
Total non interest bearing cash at beginning of year2015-12-31$362,724
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$6,332,042
Value of net assets at end of year (total assets less liabilities)2015-12-31$168,301,696
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$161,969,654
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
Assets. partnership/joint venture interests at end of year2015-12-31$767,115
Assets. partnership/joint venture interests at beginning of year2015-12-31$301,189
Investment advisory and management fees2015-12-31$577,013
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$164,824,754
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$80,592,799
Interest on participant loans2015-12-31$44,314
Interest earned on other investments2015-12-31$108,487
Income. Interest from US Government securities2015-12-31$77,868
Income. Interest from corporate debt instruments2015-12-31$149,349
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$2,932,428
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$17,393,262
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$17,393,262
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$2,144
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$3,160,396
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$3,028,842
Asset value of US Government securities at end of year2015-12-31$2,421,196
Asset value of US Government securities at beginning of year2015-12-31$2,599,128
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-1,068,190
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$7,064,756
Employer contributions (assets) at end of year2015-12-31$86,286
Employer contributions (assets) at beginning of year2015-12-31$126,686
Income. Dividends from common stock2015-12-31$905,136
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$3,682,316
Asset. Corporate debt instrument debt (other) at end of year2015-12-31$5,281,160
Asset. Corporate debt instrument debt (other) at beginning of year2015-12-31$4,849,127
Contract administrator fees2015-12-31$4,760
Assets. Corporate common stocks other than exployer securities at end of year2015-12-31$38,136,575
Assets. Corporate common stocks other than exployer securities at beginning of year2015-12-31$42,052,014
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
Aggregate proceeds on sale of assets2015-12-31$8,807,678
Aggregate carrying amount (costs) on sale of assets2015-12-31$8,429,445
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 name2015-12-31TULL FORSBERG & OLSON
Accountancy firm EIN2015-12-31860130568
2014 : VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$3,317,800
Total unrealized appreciation/depreciation of assets2014-12-31$3,317,800
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$174,991
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$27,914
Expenses. Interest paid2014-12-31$11
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022014-12-31$11
Total income from all sources (including contributions)2014-12-31$20,582,264
Total loss/gain on sale of assets2014-12-31$926,666
Total of all expenses incurred2014-12-31$6,786,338
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$6,219,107
Expenses. Certain deemed distributions of participant loans2014-12-31$2,300
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$12,307,218
Value of total assets at end of year2014-12-31$162,144,645
Value of total assets at beginning of year2014-12-31$148,201,642
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$564,920
Total interest from all sources2014-12-31$224,361
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$4,966,316
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$3,743,596
Assets. Real estate other than employer real property at end of year2014-12-31$507,789
Assets. Real estate other than employer real property at beginning of year2014-12-31$433,549
Administrative expenses professional fees incurred2014-12-31$31,926
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$4,109,417
Participant contributions at end of year2014-12-31$1,222,313
Participant contributions at beginning of year2014-12-31$1,163,000
Participant contributions at end of year2014-12-31$3,351
Participant contributions at beginning of year2014-12-31$47
Assets. Other investments not covered elsewhere at end of year2014-12-31$9,077,253
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$276,804
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$28,168
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$1,476
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2014-12-31$174,991
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$27,764
Other income not declared elsewhere2014-12-31$271
Administrative expenses (other) incurred2014-12-31$7,929
Total non interest bearing cash at end of year2014-12-31$362,724
Total non interest bearing cash at beginning of year2014-12-31$228,066
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$13,795,926
Value of net assets at end of year (total assets less liabilities)2014-12-31$161,969,654
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$148,173,728
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
Assets. partnership/joint venture interests at end of year2014-12-31$301,189
Assets. partnership/joint venture interests at beginning of year2014-12-31$257,295
Investment advisory and management fees2014-12-31$514,911
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$80,592,799
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$63,807,027
Interest on participant loans2014-12-31$54,224
Interest earned on other investments2014-12-31$43,739
Income. Interest from US Government securities2014-12-31$52,944
Income. Interest from corporate debt instruments2014-12-31$68,888
Value of interest in common/collective trusts at beginning of year2014-12-31$13,504,041
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$17,393,262
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$20,804,113
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$20,804,113
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$4,566
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$3,028,842
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$2,790,233
Asset value of US Government securities at end of year2014-12-31$2,599,128
Asset value of US Government securities at beginning of year2014-12-31$2,470,539
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$-1,159,162
Net investment gain/loss from pooled separate accounts2014-12-31$-1,445
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$8,197,801
Employer contributions (assets) at end of year2014-12-31$126,686
Employer contributions (assets) at beginning of year2014-12-31$48,076
Income. Dividends from common stock2014-12-31$1,222,720
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$6,219,107
Asset. Corporate debt instrument debt (other) at end of year2014-12-31$4,849,127
Asset. Corporate debt instrument debt (other) at beginning of year2014-12-31$4,898,915
Contract administrator fees2014-12-31$10,154
Assets. Corporate common stocks other than exployer securities at end of year2014-12-31$42,052,014
Assets. Corporate common stocks other than exployer securities at beginning of year2014-12-31$37,518,461
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
Aggregate proceeds on sale of assets2014-12-31$926,666
Liabilities. Value of acquisition indebtedness at beginning of year2014-12-31$150
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 name2014-12-31TULL FORSBERG & OLSON
Accountancy firm EIN2014-12-31860130568
2013 : VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$4,256,906
Total unrealized appreciation/depreciation of assets2013-12-31$4,256,906
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$27,914
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$11,893
Expenses. Interest paid2013-12-31$18
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-1022013-12-31$18
Total income from all sources (including contributions)2013-12-31$27,592,374
Total loss/gain on sale of assets2013-12-31$196,745
Total of all expenses incurred2013-12-31$3,305,781
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$2,795,381
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$12,372,552
Value of total assets at end of year2013-12-31$148,201,642
Value of total assets at beginning of year2013-12-31$123,899,028
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$510,382
Total interest from all sources2013-12-31$311,185
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$2,898,238
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$2,195,191
Assets. Real estate other than employer real property at end of year2013-12-31$433,549
Assets. Real estate other than employer real property at beginning of year2013-12-31$630,905
Administrative expenses professional fees incurred2013-12-31$23,806
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$4,042,605
Participant contributions at end of year2013-12-31$1,163,000
Participant contributions at beginning of year2013-12-31$1,073,920
Participant contributions at end of year2013-12-31$47
Participant contributions at beginning of year2013-12-31$1,850
Assets. Other investments not covered elsewhere at end of year2013-12-31$276,804
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$384,177
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$573,198
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$1,476
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$9,953,082
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$27,764
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$11,695
Other income not declared elsewhere2013-12-31$95,768
Administrative expenses (other) incurred2013-12-31$7,344
Total non interest bearing cash at end of year2013-12-31$228,066
Total non interest bearing cash at beginning of year2013-12-31$164,006
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$24,286,593
Value of net assets at end of year (total assets less liabilities)2013-12-31$148,173,728
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$123,887,135
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
Assets. partnership/joint venture interests at end of year2013-12-31$257,295
Assets. partnership/joint venture interests at beginning of year2013-12-31$195,300
Investment advisory and management fees2013-12-31$479,232
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$63,807,027
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$53,021,495
Interest on participant loans2013-12-31$46,735
Interest earned on other investments2013-12-31$74,164
Income. Interest from US Government securities2013-12-31$11,576
Income. Interest from corporate debt instruments2013-12-31$176,202
Value of interest in common/collective trusts at end of year2013-12-31$13,504,041
Value of interest in common/collective trusts at beginning of year2013-12-31$11,013,379
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$20,804,113
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$23,743,132
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$23,743,132
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$2,508
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$2,790,233
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$1,374,614
Asset value of US Government securities at end of year2013-12-31$2,470,539
Asset value of US Government securities at beginning of year2013-12-31$2,602,593
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$7,460,980
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$7,756,749
Employer contributions (assets) at end of year2013-12-31$48,076
Employer contributions (assets) at beginning of year2013-12-31$35,338
Income. Dividends from preferred stock2013-12-31$14,034
Income. Dividends from common stock2013-12-31$689,013
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$2,795,381
Asset. Corporate debt instrument debt (other) at end of year2013-12-31$4,898,915
Asset. Corporate debt instrument debt (other) at beginning of year2013-12-31$2,035,143
Assets. Corporate common stocks other than exployer securities at end of year2013-12-31$37,518,461
Assets. Corporate common stocks other than exployer securities at beginning of year2013-12-31$17,670,094
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
Aggregate proceeds on sale of assets2013-12-31$196,745
Liabilities. Value of acquisition indebtedness at end of year2013-12-31$150
Liabilities. Value of acquisition indebtedness at beginning of year2013-12-31$198
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 name2013-12-31TULL FORSBERG & OLSON
Accountancy firm EIN2013-12-31860130568
2012 : VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$2,658,141
Total unrealized appreciation/depreciation of assets2012-12-31$2,658,141
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$11,893
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$13,899
Total income from all sources (including contributions)2012-12-31$32,962,796
Total loss/gain on sale of assets2012-12-31$465,915
Total of all expenses incurred2012-12-31$1,891,973
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,526,710
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$23,131,623
Value of total assets at end of year2012-12-31$123,899,028
Value of total assets at beginning of year2012-12-31$92,830,211
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$365,263
Total interest from all sources2012-12-31$341,457
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$542,306
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Assets. Real estate other than employer real property at end of year2012-12-31$630,905
Assets. Real estate other than employer real property at beginning of year2012-12-31$293,837
Administrative expenses professional fees incurred2012-12-31$360,364
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
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$3,780,927
Participant contributions at end of year2012-12-31$1,073,920
Participant contributions at beginning of year2012-12-31$784,661
Participant contributions at end of year2012-12-31$1,850
Participant contributions at beginning of year2012-12-31$4,646
Assets. Other investments not covered elsewhere at end of year2012-12-31$384,177
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$2,497,229
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$11,880,555
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$9,953,082
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$-1,467
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$11,695
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$13,813
Other income not declared elsewhere2012-12-31$569
Administrative expenses (other) incurred2012-12-31$4,849
Total non interest bearing cash at end of year2012-12-31$164,006
Total non interest bearing cash at beginning of year2012-12-31$606,866
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$31,070,823
Value of net assets at end of year (total assets less liabilities)2012-12-31$123,887,135
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$92,816,312
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
Assets. partnership/joint venture interests at end of year2012-12-31$195,300
Assets. partnership/joint venture interests at beginning of year2012-12-31$1,192,544
Investment advisory and management fees2012-12-31$50
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$53,021,495
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$44,431,849
Interest on participant loans2012-12-31$64,521
Interest earned on other investments2012-12-31$69,407
Income. Interest from US Government securities2012-12-31$45,890
Income. Interest from corporate debt instruments2012-12-31$159,330
Value of interest in common/collective trusts at end of year2012-12-31$11,013,379
Value of interest in common/collective trusts at beginning of year2012-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$23,743,132
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$16,049,816
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$16,049,816
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$2,309
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$1,374,614
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$1,051,114
Asset value of US Government securities at end of year2012-12-31$2,602,593
Asset value of US Government securities at beginning of year2012-12-31$1,771,828
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$5,822,785
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$7,470,141
Employer contributions (assets) at end of year2012-12-31$35,338
Employer contributions (assets) at beginning of year2012-12-31$38,566
Income. Dividends from preferred stock2012-12-31$14
Income. Dividends from common stock2012-12-31$542,292
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,526,710
Asset. Corporate debt instrument debt (other) at end of year2012-12-31$2,035,143
Asset. Corporate debt instrument debt (other) at beginning of year2012-12-31$4,606,233
Assets. Corporate common stocks other than exployer securities at end of year2012-12-31$17,670,094
Assets. Corporate common stocks other than exployer securities at beginning of year2012-12-31$19,502,489
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
Aggregate proceeds on sale of assets2012-12-31$465,915
Liabilities. Value of acquisition indebtedness at end of year2012-12-31$198
Liabilities. Value of acquisition indebtedness at beginning of year2012-12-31$86
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31No
Opinion of an independent qualified public accountant for this plan2012-12-31Unqualified
Accountancy firm name2012-12-31TULL FORSBERG & OLSON
Accountancy firm EIN2012-12-31860130568
2011 : VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$-1,054,247
Total unrealized appreciation/depreciation of assets2011-12-31$-1,054,247
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$13,899
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$14,881
Total income from all sources (including contributions)2011-12-31$8,737,993
Total loss/gain on sale of assets2011-12-31$-187,881
Total of all expenses incurred2011-12-31$1,760,909
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,426,702
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$10,300,037
Value of total assets at end of year2011-12-31$92,830,211
Value of total assets at beginning of year2011-12-31$85,854,109
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$334,207
Total interest from all sources2011-12-31$369,357
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$431,381
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Assets. Real estate other than employer real property at end of year2011-12-31$293,837
Assets. Real estate other than employer real property at beginning of year2011-12-31$300,530
Administrative expenses professional fees incurred2011-12-31$329,337
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
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$3,446,696
Participant contributions at end of year2011-12-31$784,661
Participant contributions at beginning of year2011-12-31$753,069
Participant contributions at end of year2011-12-31$4,646
Participant contributions at beginning of year2011-12-31$5,956
Assets. Other investments not covered elsewhere at end of year2011-12-31$2,497,229
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$2,136,533
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$-1,467
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$113,052
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2011-12-31$13,813
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$14,831
Other income not declared elsewhere2011-12-31$3,427
Administrative expenses (other) incurred2011-12-31$4,864
Total non interest bearing cash at end of year2011-12-31$606,866
Total non interest bearing cash at beginning of year2011-12-31$655,570
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$6,977,084
Value of net assets at end of year (total assets less liabilities)2011-12-31$92,816,312
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$85,839,228
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
Assets. partnership/joint venture interests at end of year2011-12-31$1,192,544
Assets. partnership/joint venture interests at beginning of year2011-12-31$1,101,977
Investment advisory and management fees2011-12-31$6
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$44,431,849
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$42,909,135
Interest on participant loans2011-12-31$30,770
Interest earned on other investments2011-12-31$135,528
Income. Interest from US Government securities2011-12-31$32,551
Income. Interest from corporate debt instruments2011-12-31$166,828
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$16,049,816
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$14,362,006
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$14,362,006
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$3,680
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$1,051,114
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$955,795
Asset value of US Government securities at end of year2011-12-31$1,771,828
Asset value of US Government securities at beginning of year2011-12-31$1,721,780
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-1,124,081
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$6,853,341
Employer contributions (assets) at end of year2011-12-31$38,566
Employer contributions (assets) at beginning of year2011-12-31$24,494
Income. Dividends from common stock2011-12-31$431,381
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,426,702
Asset. Corporate debt instrument debt (other) at end of year2011-12-31$4,606,233
Asset. Corporate debt instrument debt (other) at beginning of year2011-12-31$4,057,389
Assets. Corporate common stocks other than exployer securities at end of year2011-12-31$19,502,489
Assets. Corporate common stocks other than exployer securities at beginning of year2011-12-31$16,756,823
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Aggregate proceeds on sale of assets2011-12-31$-187,881
Liabilities. Value of acquisition indebtedness at end of year2011-12-31$86
Liabilities. Value of acquisition indebtedness at beginning of year2011-12-31$50
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31No
Opinion of an independent qualified public accountant for this plan2011-12-31Unqualified
Accountancy firm name2011-12-31TULL FORSBERG & OLSON
Accountancy firm EIN2011-12-31860130568
2010 : VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$2,866,207
Total unrealized appreciation/depreciation of assets2010-12-31$2,866,207
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$14,881
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$16,266
Total income from all sources (including contributions)2010-12-31$18,318,890
Total loss/gain on sale of assets2010-12-31$-194,740
Total of all expenses incurred2010-12-31$1,103,405
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$834,876
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$10,006,893
Value of total assets at end of year2010-12-31$85,854,109
Value of total assets at beginning of year2010-12-31$68,640,009
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$268,529
Total interest from all sources2010-12-31$325,707
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$258,321
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Assets. Real estate other than employer real property at end of year2010-12-31$300,530
Assets. Real estate other than employer real property at beginning of year2010-12-31$862,416
Administrative expenses professional fees incurred2010-12-31$264,119
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$3,342,006
Participant contributions at end of year2010-12-31$753,069
Participant contributions at beginning of year2010-12-31$596,305
Participant contributions at end of year2010-12-31$5,956
Participant contributions at beginning of year2010-12-31$6,311
Assets. Other investments not covered elsewhere at end of year2010-12-31$2,136,533
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$1,665,741
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$113,052
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$27,797
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$14,831
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$16,266
Other income not declared elsewhere2010-12-31$730
Administrative expenses (other) incurred2010-12-31$4,213
Total non interest bearing cash at end of year2010-12-31$655,570
Total non interest bearing cash at beginning of year2010-12-31$515,225
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$17,215,485
Value of net assets at end of year (total assets less liabilities)2010-12-31$85,839,228
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$68,623,743
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
Assets. partnership/joint venture interests at end of year2010-12-31$1,101,977
Assets. partnership/joint venture interests at beginning of year2010-12-31$1,018,221
Investment advisory and management fees2010-12-31$197
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$42,909,135
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$33,026,428
Interest on participant loans2010-12-31$27,169
Interest earned on other investments2010-12-31$109,072
Income. Interest from US Government securities2010-12-31$27,340
Income. Interest from corporate debt instruments2010-12-31$156,525
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$14,362,006
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$12,923,000
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$12,923,000
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$5,601
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$955,795
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$632,235
Asset value of US Government securities at end of year2010-12-31$1,721,780
Asset value of US Government securities at beginning of year2010-12-31$1,975,550
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$5,055,772
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
Contributions received in cash from employer2010-12-31$6,664,887
Employer contributions (assets) at end of year2010-12-31$24,494
Employer contributions (assets) at beginning of year2010-12-31$278
Income. Dividends from common stock2010-12-31$258,321
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$834,876
Asset. Corporate debt instrument debt (other) at end of year2010-12-31$4,057,389
Asset. Corporate debt instrument debt (other) at beginning of year2010-12-31$3,730,674
Assets. Corporate common stocks other than exployer securities at end of year2010-12-31$16,756,823
Assets. Corporate common stocks other than exployer securities at beginning of year2010-12-31$11,659,828
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Aggregate proceeds on sale of assets2010-12-31$-194,740
Liabilities. Value of acquisition indebtedness at end of year2010-12-31$50
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31No
Opinion of an independent qualified public accountant for this plan2010-12-31Unqualified
Accountancy firm name2010-12-31TULL FORSBERG & OLSON
Accountancy firm EIN2010-12-31860130568
2009 : VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN

2017: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
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
2017-01-01Plan benefit arrangement - TrustYes
2016: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedYes
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
2016-01-01Plan benefit arrangement - TrustYes
2015: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING 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
2015-01-01Plan benefit arrangement - TrustYes
2014: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING 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
2014-01-01Plan benefit arrangement - TrustYes
2013: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: VALLEY ANESTHESIOLOGY CONSULTANTS, LTD. PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PACIFIC LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67466 )
Policy contract numberVM13001668
Policy instance 3
Insurance contract or identification numberVM13001668
Number of Individuals Covered0
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
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?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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
NATIONAL WESTERN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66850 )
Policy contract number0101336888
Policy instance 2
Insurance contract or identification number0101336888
Number of Individuals Covered0
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
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?1
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
ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA (National Association of Insurance Commissioners NAIC id number: 90611 )
Policy contract number71160625
Policy instance 1
Insurance contract or identification number71160625
Number of Individuals Covered0
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
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?1
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
PACIFIC LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67466 )
Policy contract numberVR09035120
Policy instance 4
Insurance contract or identification numberVR09035120
Number of Individuals Covered0
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
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?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 planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
PACIFIC LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67466 )
Policy contract numberVM13001668
Policy instance 7
Insurance contract or identification numberVM13001668
Number of Individuals Covered1
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $1,166
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
PACIFIC LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67466 )
Policy contract numberVR09035120
Policy instance 8
Insurance contract or identification numberVR09035120
Number of Individuals Covered1
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $2,429
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA (National Association of Insurance Commissioners NAIC id number: 90611 )
Policy contract number71160625
Policy instance 1
Insurance contract or identification number71160625
Number of Individuals Covered1
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract numberE0820462
Policy instance 9
Insurance contract or identification numberE0820462
Number of Individuals Covered1
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $1,205
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number2321838
Policy instance 2
Insurance contract or identification number2321838
Number of Individuals Covered1
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number2327945
Policy instance 3
Insurance contract or identification number2327945
Number of Individuals Covered1
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number954197322
Policy instance 4
Insurance contract or identification number954197322
Number of Individuals Covered1
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $1,943
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?Yes
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Other information about contractGROUP VARIABLE ANNUITY CONTRACT WITH A GUARANTEED FUND
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract numberC0634
Policy instance 6
Insurance contract or identification numberC0634
Number of Individuals Covered1
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $1,063
Total amount of fees paid to insurance companyUSD $435
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
NATIONAL WESTERN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66850 )
Policy contract number0101336888
Policy instance 5
Insurance contract or identification number0101336888
Number of Individuals Covered1
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA (National Association of Insurance Commissioners NAIC id number: 90611 )
Policy contract number71160625
Policy instance 5
Insurance contract or identification number71160625
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $41,097
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $29,355
Insurance broker organization code?3
Insurance broker nameFINANCIAL INDEPENDENCE GROUP
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number2321838
Policy instance 9
Insurance contract or identification number2321838
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $0
Insurance broker organization code?3
Insurance broker nameGREGORY GEORGE
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number954197322
Policy instance 8
Insurance contract or identification number954197322
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
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?Yes
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Other information about contractGROUP VARIABLE ANNUITY CONTRACT WITH A GUARANTEED FUND
Commission paid to Insurance BrokerUSD $1,943
Insurance broker organization code?3
Insurance broker nameUBS FINANCIAL SERVICES
JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 )
Policy contract number1005303164
Policy instance 7
Insurance contract or identification number1005303164
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameMARCUS EUGENE ORTEGA
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract numberC0634
Policy instance 6
Insurance contract or identification numberC0634
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $1,071
Total amount of fees paid to insurance companyUSD $749
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $293
Amount paid for insurance broker fees261
Additional information about fees paid to insurance brokerSERVICING FEES AND OTHER COMPENSATION
Insurance broker organization code?3
Insurance broker nameGROSS FNCL GRP LLC
PACIFIC LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67466 )
Policy contract numberVR09035120
Policy instance 4
Insurance contract or identification numberVR09035120
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $2,860
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $2,860
Insurance broker organization code?3
Insurance broker nameMETLIFE SECURITIES INC.
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract numberE0820462
Policy instance 3
Insurance contract or identification numberE0820462
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $1,205
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $1,205
Insurance broker organization code?3
Insurance broker nameE THOMAS HOLDER JR
PACIFIC LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67466 )
Policy contract numberVM13001668
Policy instance 2
Insurance contract or identification numberVM13001668
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $665
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $665
Insurance broker organization code?3
Insurance broker nameTRUSTMONT FINANCIAL GROUP INC
NATIONAL WESTERN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66850 )
Policy contract number0101336888
Policy instance 1
Insurance contract or identification number0101336888
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Commission paid to Insurance BrokerUSD $0
Insurance broker organization code?3
Insurance broker nameSTRATEGIC INSURANCE INC
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )
Policy contract number2327945
Policy instance 10
Insurance contract or identification number2327945
Number of Individuals Covered1
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $0
Insurance broker organization code?3
Insurance broker nameGREGORY GEORGE
JOHN HANCOCK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 90425 )
Policy contract number2321838
Policy instance 1
Insurance contract or identification number2321838
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
JOHN HANCOCK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 90425 )
Policy contract number2327945
Policy instance 2
Insurance contract or identification number2327945
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
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
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number95-4197322
Policy instance 3
Insurance contract or identification number95-4197322
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $5,972
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 $5,972
Insurance broker organization code?3
Insurance broker nameUBS FINANCIAL SERVICES INC
JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 )
Policy contract number1005303164
Policy instance 4
Insurance contract or identification number1005303164
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $4,500
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,500
Insurance broker organization code?3
Insurance broker nameMARCUS EUGENE ORTEGA
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract numberE0820462
Policy instance 6
Insurance contract or identification numberE0820462
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $1,093
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $1,093
Insurance broker organization code?3
Insurance broker nameE THOMAS HOLDER JR.
NORTHWESTERN MUTUAL (National Association of Insurance Commissioners NAIC id number: 67091 )
Policy contract numberC0634
Policy instance 7
Insurance contract or identification numberC0634
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $9,783
Total amount of fees paid to insurance companyUSD $4,802
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $7,340
Amount paid for insurance broker fees4062
Additional information about fees paid to insurance broker7
Insurance broker organization code?3
Insurance broker nameGROSS FNCL GROUP LLC
PACIFIC LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67466 )
Policy contract numberVM13001668
Policy instance 8
Insurance contract or identification numberVM13001668
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $22,000
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $22,000
Insurance broker organization code?3
Insurance broker nameTRUSTMONT FINANCIAL GROUP INC.
PACIFIC LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67466 )
Policy contract numberVR09035120
Policy instance 5
Insurance contract or identification numberVR09035120
Number of Individuals Covered1
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $2,805
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,805
Insurance broker organization code?3
Insurance broker nameMETLIFE SECURITIES INC
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract numberE0820462
Policy instance 6
Insurance contract or identification numberE0820462
Number of Individuals Covered1
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $1,052
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $1,052
Insurance broker organization code?3
Insurance broker nameE THOMAS HOLDER JR.
JOHN HANCOCK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 90425 )
Policy contract number2321838
Policy instance 1
Insurance contract or identification number2321838
Number of Individuals Covered1
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
JOHN HANCOCK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 90425 )
Policy contract number2327945
Policy instance 2
Insurance contract or identification number2327945
Number of Individuals Covered1
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
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
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number95-4197322
Policy instance 3
Insurance contract or identification number95-4197322
Number of Individuals Covered1
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $1,316
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 $1,316
Insurance broker organization code?3
Insurance broker nameUBS FINANCIAL SERVICES INC
JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 )
Policy contract number1005303164
Policy instance 4
Insurance contract or identification number1005303164
Number of Individuals Covered1
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?Yes
Insurance broker organization code?3
Insurance broker nameMARCUS EUGENE ORTEGA
PACIFIC LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67466 )
Policy contract numberVR09035120
Policy instance 5
Insurance contract or identification numberVR09035120
Number of Individuals Covered1
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $2,855
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $2,855
Insurance broker organization code?3
Insurance broker nameMETLIFE SECURITIES
PACIFIC LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67466 )
Policy contract numberVR09035120
Policy instance 5
Insurance contract or identification numberVR09035120
Number of Individuals Covered1
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $2,695
Total amount of fees paid to insurance companyUSD $123
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 )
Policy contract number1005303164
Policy instance 4
Insurance contract or identification number1005303164
Number of Individuals Covered1
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?Yes
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number95-4197322
Policy instance 3
Insurance contract or identification number95-4197322
Number of Individuals Covered1
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
JOHN HANCOCK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 90425 )
Policy contract number2327945
Policy instance 2
Insurance contract or identification number2327945
Number of Individuals Covered1
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $2,158
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
JOHN HANCOCK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 90425 )
Policy contract number2321838
Policy instance 1
Insurance contract or identification number2321838
Number of Individuals Covered1
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
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
PACIFIC LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 67466 )
Policy contract numberVR09035120
Policy instance 5
Insurance contract or identification numberVR09035120
Number of Individuals Covered1
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $2,818
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?Yes
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65676 )
Policy contract number95-4197322
Policy instance 3
Insurance contract or identification number95-4197322
Number of Individuals Covered1
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
JOHN HANCOCK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 90425 )
Policy contract number2327945
Policy instance 2
Insurance contract or identification number2327945
Number of Individuals Covered1
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
JOHN HANCOCK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 90425 )
Policy contract number2321838
Policy instance 1
Insurance contract or identification number2321838
Number of Individuals Covered1
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
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
JACKSON NATIONAL (National Association of Insurance Commissioners NAIC id number: 65056 )
Policy contract number1005303164
Policy instance 4
Insurance contract or identification number1005303164
Number of Individuals Covered1
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $4,881
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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