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

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

Plan Name	THE HEESTAND COMPANY 401(K) PLAN
Plan identification number	002

THE HEESTAND COMPANY 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

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

Company Name: THE HEESTAND COMPANY

Employer identification number (EIN): 931086936

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Additional information about THE HEESTAND COMPANY

Jurisdiction of Incorporation: Oregon Secretary of State Corporations Division

Incorporation Date: 1992-06-29

Company Identification Number: 30242481

Legal Registered Office Address: 5441 SW MACADAM AVE STE 301

PORTLAND
United States of America (USA)
97239

More information about THE HEESTAND COMPANY

Form 5500 Filing Information

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

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2016-01-01 MARY CABALLERO 2017-06-05
002 2015-01-01 WILLIAM J. HEESTAND
002 2014-01-01 WILLIAM J. HEESTAND
002 2013-01-01 WILLIAM J. HEESTAND
002 2012-01-01 WILLIAM J. HEESTAND 2013-07-18
002 2011-01-01 WILLIAM J. HEESTAND 2012-06-27
002 2010-01-01 WILLIAM J. HEESTAND 2011-07-22

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2016-01-01	MARY CABALLERO	2017-06-05
002	2015-01-01	WILLIAM J. HEESTAND
002	2014-01-01	WILLIAM J. HEESTAND
002	2013-01-01	WILLIAM J. HEESTAND
002	2012-01-01	WILLIAM J. HEESTAND	2013-07-18
002	2011-01-01	WILLIAM J. HEESTAND	2012-06-27
002	2010-01-01	WILLIAM J. HEESTAND	2011-07-22

Plan Statistics for THE HEESTAND COMPANY 401(K) PLAN

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

Measure Date Value
2015: THE HEESTAND COMPANY 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 6
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 6
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 1
Total of all active and inactive participants 2015-01-01 7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 7
Number of participants with account balances 2015-01-01 7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: THE HEESTAND COMPANY 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 5
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 1
Total of all active and inactive participants 2014-01-01 6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 6
Number of participants with account balances 2014-01-01 6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: THE HEESTAND COMPANY 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 5
Total of all active and inactive participants 2013-01-01 5
Total participants 2013-01-01 5
Number of participants with account balances 2013-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0

Measure	Date	Value
2015: THE HEESTAND COMPANY 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	6
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	6
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	1
Total of all active and inactive participants	2015-01-01	7
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	7
Number of participants with account balances	2015-01-01	7
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: THE HEESTAND COMPANY 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	5
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	1
Total of all active and inactive participants	2014-01-01	6
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	6
Number of participants with account balances	2014-01-01	6
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: THE HEESTAND COMPANY 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	5
Total of all active and inactive participants	2013-01-01	5
Total participants	2013-01-01	5
Number of participants with account balances	2013-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0

Financial Data on THE HEESTAND COMPANY 401(K) PLAN

Measure	Date	Value
2015 : THE HEESTAND COMPANY 401(K) PLAN 2015 401k financial data
Total plan liabilities at end of year	2015-12-31	$1,804
Total plan liabilities at beginning of year	2015-12-31	$1,389
Total income from all sources	2015-12-31	$16,022
Expenses. Total of all expenses incurred	2015-12-31	$18,861
Benefits paid (including direct rollovers)	2015-12-31	$10,936
Total plan assets at end of year	2015-12-31	$823,330
Total plan assets at beginning of year	2015-12-31	$825,754
Value of fidelity bond covering the plan	2015-12-31	$100,000
Total contributions received or receivable from participants	2015-12-31	$9,389
Contributions received from other sources (not participants or employers)	2015-12-31	$892
Other income received	2015-12-31	$-7,627
Net income (gross income less expenses)	2015-12-31	$-2,839
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$821,526
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$824,365
Assets. Value of participant loans	2015-12-31	$7,560
Total contributions received or receivable from employer(s)	2015-12-31	$13,368
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$7,925
2014 : THE HEESTAND COMPANY 401(K) PLAN 2014 401k financial data
Total plan liabilities at end of year	2014-12-31	$1,389
Total income from all sources	2014-12-31	$82,256
Expenses. Total of all expenses incurred	2014-12-31	$6,193
Benefits paid (including direct rollovers)	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$825,754
Total plan assets at beginning of year	2014-12-31	$748,302
Value of fidelity bond covering the plan	2014-12-31	$100,000
Total contributions received or receivable from participants	2014-12-31	$22,715
Other income received	2014-12-31	$45,870
Net income (gross income less expenses)	2014-12-31	$76,063
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$824,365
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$748,302
Assets. Value of participant loans	2014-12-31	$2,998
Total contributions received or receivable from employer(s)	2014-12-31	$13,671
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$6,193
2013 : THE HEESTAND COMPANY 401(K) PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$62,393
Expenses. Total of all expenses incurred	2013-12-31	$3,855
Total plan assets at end of year	2013-12-31	$748,302
Total plan assets at beginning of year	2013-12-31	$689,764
Value of fidelity bond covering the plan	2013-12-31	$65,000
Other income received	2013-12-31	$62,393
Net income (gross income less expenses)	2013-12-31	$58,538
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$748,302
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$689,764
Assets. Value of participant loans	2013-12-31	$5,519
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$3,855

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

2015: THE HEESTAND COMPANY 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: THE HEESTAND COMPANY 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: THE HEESTAND COMPANY 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

33171701

Policy instance

Insurance contract or identification number	33171701
Number of Individuals Covered	1
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31

AMERICAN EQUITY INVESTMENT LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61689 )

Policy contract number

AB00673330

Policy instance

Insurance contract or identification number	AB00673330
Number of Individuals Covered	1
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

33171701

Policy instance

Insurance contract or identification number	33171701
Number of Individuals Covered	6
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31

AMERICAN EQUITY INVESTMENT LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61689 )

Policy contract number

AB00673330

Policy instance

Insurance contract or identification number	AB00673330
Number of Individuals Covered	1
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

33171701

Policy instance

Insurance contract or identification number	33171701
Number of Individuals Covered	2
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31

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Company Name:	THE HEESTAND COMPANY
Employer identification number (EIN):	931086936
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages

Jurisdiction of Incorporation:	Oregon Secretary of State Corporations Division
Incorporation Date:	1992-06-29
Company Identification Number:	30242481
Legal Registered Office Address:	5441 SW MACADAM AVE STE 301 PORTLAND United States of America (USA) 97239