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KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 401k Plan overview

Plan NameKOMATSU AMERICA CORP. RETIREE WELFARE PLAN
Plan identification number 506

KOMATSU AMERICA CORP. RETIREE WELFARE PLAN Benefits

401k Plan TypeWelfare Benefit
Plan Features/Benefits
  • Health (other than dental or vision)
  • Life insurance
  • Vision
  • Death benefits (include travel accident but not life insurance)
  • Other welfare benefit cover

401k Sponsoring company profile

KOMATSU AMERICA CORP has sponsored the creation of one or more 401k plans.

Company Name:KOMATSU AMERICA CORP
Employer identification number (EIN):941715128
NAIC Classification:333100

Form 5500 Filing Information

Submission information for form 5500 for 401k plan KOMATSU AMERICA CORP. RETIREE WELFARE PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
5062022-01-01MATTHEW STUART2023-10-13
5062021-01-01MATTHEW STUART2022-10-13
5062020-01-01MATTHEW STUART2021-10-14
5062019-01-01MATT STUART2020-10-14
5062018-01-01MATTHEW STUART2019-10-15 MATTHEW STUART2019-10-15
5062017-01-01
5062016-01-01
5062016-01-01MERRILL GAD2017-10-16
5062015-01-01MERRILL GAD RICHARD FIKIS2016-10-17
5062015-01-01MERRILL GAD RICHARD FIKIS2016-12-22
5062014-01-01MERRILL GAD BRAD PERLSTEIN2015-10-14
5062014-01-01MERRILL GAD RICHARD FIKIS2016-12-22
5062013-01-01MERRILL GAD RICHARD FIKIS2016-12-22
5062012-01-01BRAD PERLSTEIN JIM FRENCH2014-05-28
5062011-01-01LAUREN JAY LAUREN JAY2013-06-17
5062009-01-01NOREEN CLEARY NOREEN CLEARY2010-10-15

Plan Statistics for KOMATSU AMERICA CORP. RETIREE WELFARE PLAN

401k plan membership statisitcs for KOMATSU AMERICA CORP. RETIREE WELFARE PLAN

Measure Date Value
2022: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-011,561
Number of retired or separated participants receiving benefits2022-01-011,157
Number of other retired or separated participants entitled to future benefits2022-01-01289
Total of all active and inactive participants2022-01-011,446
2021: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-011,445
Number of retired or separated participants receiving benefits2021-01-011,388
Number of other retired or separated participants entitled to future benefits2021-01-01173
Total of all active and inactive participants2021-01-011,561
2020: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-011,420
Number of retired or separated participants receiving benefits2020-01-011,171
Number of other retired or separated participants entitled to future benefits2020-01-01274
Total of all active and inactive participants2020-01-011,445
2019: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-011,380
Number of retired or separated participants receiving benefits2019-01-011,157
Number of other retired or separated participants entitled to future benefits2019-01-01263
Total of all active and inactive participants2019-01-011,420
2018: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-011,444
Number of retired or separated participants receiving benefits2018-01-011,120
Number of other retired or separated participants entitled to future benefits2018-01-01260
Total of all active and inactive participants2018-01-011,380
2017: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-011,329
Total number of active participants reported on line 7a of the Form 55002017-01-010
Number of retired or separated participants receiving benefits2017-01-011,393
Number of other retired or separated participants entitled to future benefits2017-01-0151
Total of all active and inactive participants2017-01-011,444
2016: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-011,130
Number of retired or separated participants receiving benefits2016-01-011,143
Number of other retired or separated participants entitled to future benefits2016-01-01186
Total of all active and inactive participants2016-01-011,329
2015: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-011,247
Total number of active participants reported on line 7a of the Form 55002015-01-010
Number of retired or separated participants receiving benefits2015-01-01890
Number of other retired or separated participants entitled to future benefits2015-01-01240
Total of all active and inactive participants2015-01-011,130
2014: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-011,324
Total number of active participants reported on line 7a of the Form 55002014-01-010
Number of retired or separated participants receiving benefits2014-01-01895
Number of other retired or separated participants entitled to future benefits2014-01-01352
Total of all active and inactive participants2014-01-011,247
2013: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01868
Total number of active participants reported on line 7a of the Form 55002013-01-010
Number of retired or separated participants receiving benefits2013-01-011,176
Number of other retired or separated participants entitled to future benefits2013-01-01235
Total of all active and inactive participants2013-01-011,411
2012: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01862
Total number of active participants reported on line 7a of the Form 55002012-01-010
Number of retired or separated participants receiving benefits2012-01-01742
Number of other retired or separated participants entitled to future benefits2012-01-01126
Total of all active and inactive participants2012-01-01868
2011: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01881
Total number of active participants reported on line 7a of the Form 55002011-01-01861
Number of retired or separated participants receiving benefits2011-01-011
Total of all active and inactive participants2011-01-01862
Total participants2011-01-01862
2009: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-011,099
Total number of active participants reported on line 7a of the Form 55002009-01-01781
Total of all active and inactive participants2009-01-01781
Total participants2009-01-01781

Financial Data on KOMATSU AMERICA CORP. RETIREE WELFARE PLAN

Measure Date Value
2022 : KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2022 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$1,145,865
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$2,429,717
Total income from all sources (including contributions)2022-12-31$-6,652,338
Total of all expenses incurred2022-12-31$5,512,881
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$4,129,877
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$2,082,220
Value of total assets at end of year2022-12-31$70,637,456
Value of total assets at beginning of year2022-12-31$84,086,527
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$1,383,004
Total interest from all sources2022-12-31$1,733,694
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$10,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$374,863
Assets. Other investments not covered elsewhere at end of year2022-12-31$15,235,006
Assets. Other investments not covered elsewhere at beginning of year2022-12-31$21,150,597
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2022-12-31$1,619,062
Value of other receiveables (less allowance for doubtful accounts) at end of year2022-12-31$1,027,306
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-12-31$446,350
Administrative expenses (other) incurred2022-12-31$934,459
Liabilities. Value of operating payables at end of year2022-12-31$1,142,932
Liabilities. Value of operating payables at beginning of year2022-12-31$2,418,828
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-12,165,219
Value of net assets at end of year (total assets less liabilities)2022-12-31$69,491,591
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$81,656,810
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Investment advisory and management fees2022-12-31$433,585
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$15,449,848
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$12,775,791
Interest earned on other investments2022-12-31$1,733,694
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2022-12-31$1,586,964
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2022-12-31$5,919,220
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2022-12-31$5,919,220
Expenses. Payments to insurance carriers foe the provision of benefits2022-12-31$1,796,181
Asset value of US Government securities at end of year2022-12-31$15,736,705
Asset value of US Government securities at beginning of year2022-12-31$17,409,766
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-10,468,252
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31Yes
Was there a failure to transmit to the plan any participant contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$1,707,357
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$714,634
Asset. Corporate debt instrument debt (other) at end of year2022-12-31$9,059,342
Asset. Corporate debt instrument debt (other) at beginning of year2022-12-31$11,456,472
Contract administrator fees2022-12-31$14,960
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32022-12-31No
Assets. Corporate common stocks other than exployer securities at end of year2022-12-31$12,542,285
Assets. Corporate common stocks other than exployer securities at beginning of year2022-12-31$14,928,331
Liabilities. Value of benefit claims payable at end of year2022-12-31$2,933
Liabilities. Value of benefit claims payable at beginning of year2022-12-31$10,889
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31BAKER TILLY US, LLP
Accountancy firm EIN2022-12-31390859910
2021 : KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2021 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$2,429,717
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$3,403,218
Total income from all sources (including contributions)2021-12-31$10,245,344
Total of all expenses incurred2021-12-31$26,721,977
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$26,291,186
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$3,060,380
Value of total assets at end of year2021-12-31$84,086,527
Value of total assets at beginning of year2021-12-31$101,536,661
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$430,791
Total interest from all sources2021-12-31$1,765,302
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$10,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$1,175,969
Assets. Other investments not covered elsewhere at end of year2021-12-31$21,150,597
Assets. Other investments not covered elsewhere at beginning of year2021-12-31$26,396,173
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2021-12-31$1,957,519
Value of other receiveables (less allowance for doubtful accounts) at end of year2021-12-31$446,350
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2021-12-31$1,227,081
Liabilities. Value of operating payables at end of year2021-12-31$2,418,828
Liabilities. Value of operating payables at beginning of year2021-12-31$3,398,701
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$-16,476,633
Value of net assets at end of year (total assets less liabilities)2021-12-31$81,656,810
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$98,133,443
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Investment advisory and management fees2021-12-31$412,267
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$12,775,791
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$18,952,268
Interest earned on other investments2021-12-31$1,765,302
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2021-12-31$5,919,220
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2021-12-31$2,523,343
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2021-12-31$2,523,343
Expenses. Payments to insurance carriers foe the provision of benefits2021-12-31$23,879,638
Asset value of US Government securities at end of year2021-12-31$17,409,766
Asset value of US Government securities at beginning of year2021-12-31$19,845,456
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$5,419,662
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$1,884,411
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$454,029
Asset. Corporate debt instrument debt (other) at end of year2021-12-31$11,456,472
Asset. Corporate debt instrument debt (other) at beginning of year2021-12-31$15,684,922
Contract administrator fees2021-12-31$18,524
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32021-12-31No
Assets. Corporate common stocks other than exployer securities at end of year2021-12-31$14,928,331
Assets. Corporate common stocks other than exployer securities at beginning of year2021-12-31$16,907,418
Liabilities. Value of benefit claims payable at end of year2021-12-31$10,889
Liabilities. Value of benefit claims payable at beginning of year2021-12-31$4,517
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31BAKER TILLY US, LLP
Accountancy firm EIN2021-12-31390859910
2020 : KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2020 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$3,403,218
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$607,258
Total income from all sources (including contributions)2020-12-31$11,777,301
Total of all expenses incurred2020-12-31$6,402,936
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$5,917,935
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$3,225,153
Value of total assets at end of year2020-12-31$101,536,661
Value of total assets at beginning of year2020-12-31$93,366,336
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$485,001
Total interest from all sources2020-12-31$2,134,232
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$10,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$1,481,353
Assets. Other investments not covered elsewhere at end of year2020-12-31$26,396,173
Assets. Other investments not covered elsewhere at beginning of year2020-12-31$24,728,876
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2020-12-31$1,671,371
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$1,227,081
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$616,045
Administrative expenses (other) incurred2020-12-31$4,390
Liabilities. Value of operating payables at end of year2020-12-31$3,398,701
Liabilities. Value of operating payables at beginning of year2020-12-31$520,847
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$5,374,365
Value of net assets at end of year (total assets less liabilities)2020-12-31$98,133,443
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$92,759,078
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Investment advisory and management fees2020-12-31$459,543
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$18,952,268
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$23,186,195
Interest earned on other investments2020-12-31$2,134,232
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2020-12-31$2,523,343
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2020-12-31$3,413,147
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2020-12-31$3,413,147
Expenses. Payments to insurance carriers foe the provision of benefits2020-12-31$4,100,697
Asset value of US Government securities at end of year2020-12-31$19,845,456
Asset value of US Government securities at beginning of year2020-12-31$14,090,519
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$6,417,916
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$1,743,800
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$145,867
Asset. Corporate debt instrument debt (other) at end of year2020-12-31$15,684,922
Asset. Corporate debt instrument debt (other) at beginning of year2020-12-31$13,028,900
Contract administrator fees2020-12-31$21,068
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32020-12-31No
Assets. Corporate common stocks other than exployer securities at end of year2020-12-31$16,907,418
Assets. Corporate common stocks other than exployer securities at beginning of year2020-12-31$14,302,654
Liabilities. Value of benefit claims payable at end of year2020-12-31$4,517
Liabilities. Value of benefit claims payable at beginning of year2020-12-31$86,411
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31BAKER TILLY US, LLP
Accountancy firm EIN2020-12-31390859910
2019 : KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2019 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$607,258
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$607,258
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$1,302,496
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$1,302,496
Total income from all sources (including contributions)2019-12-31$14,496,523
Total income from all sources (including contributions)2019-12-31$14,496,523
Total of all expenses incurred2019-12-31$6,221,684
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$5,972,947
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$5,972,947
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$2,960,717
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$2,960,717
Value of total assets at end of year2019-12-31$93,366,336
Value of total assets at end of year2019-12-31$93,366,336
Value of total assets at beginning of year2019-12-31$85,786,735
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$248,737
Total interest from all sources2019-12-31$1,736,131
Total interest from all sources2019-12-31$1,736,131
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Was this plan covered by a fidelity bond2019-12-31Yes
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$10,000,000
Value of fidelity bond cover2019-12-31$10,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
If this is an individual account plan, was there a blackout period2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$1,429,407
Contributions received from participants2019-12-31$1,429,407
Assets. Other investments not covered elsewhere at end of year2019-12-31$24,728,876
Assets. Other investments not covered elsewhere at beginning of year2019-12-31$27,011,999
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2019-12-31$1,411,101
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2019-12-31$1,411,101
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-12-31$616,045
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-12-31$616,045
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-12-31$1,141,191
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-12-31$1,141,191
Other income not declared elsewhere2019-12-31$125,708
Other income not declared elsewhere2019-12-31$125,708
Liabilities. Value of operating payables at end of year2019-12-31$520,847
Liabilities. Value of operating payables at end of year2019-12-31$520,847
Liabilities. Value of operating payables at beginning of year2019-12-31$1,145,563
Liabilities. Value of operating payables at beginning of year2019-12-31$1,145,563
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$8,274,839
Value of net assets at end of year (total assets less liabilities)2019-12-31$92,759,078
Value of net assets at end of year (total assets less liabilities)2019-12-31$92,759,078
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$84,484,239
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$84,484,239
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Investment advisory and management fees2019-12-31$216,172
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$23,186,195
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$18,538,165
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$18,538,165
Interest earned on other investments2019-12-31$1,736,131
Interest earned on other investments2019-12-31$1,736,131
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2019-12-31$3,413,147
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2019-12-31$3,413,147
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2019-12-31$4,584,703
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2019-12-31$4,584,703
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2019-12-31$4,584,703
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2019-12-31$4,584,703
Expenses. Payments to insurance carriers foe the provision of benefits2019-12-31$3,707,863
Expenses. Payments to insurance carriers foe the provision of benefits2019-12-31$3,707,863
Asset value of US Government securities at end of year2019-12-31$14,090,519
Asset value of US Government securities at end of year2019-12-31$14,090,519
Asset value of US Government securities at beginning of year2019-12-31$11,627,562
Asset value of US Government securities at beginning of year2019-12-31$11,627,562
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$9,673,967
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$9,673,967
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$1,531,310
Contributions received in cash from employer2019-12-31$1,531,310
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$853,983
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$853,983
Asset. Corporate debt instrument debt (other) at end of year2019-12-31$13,028,900
Asset. Corporate debt instrument debt (other) at end of year2019-12-31$13,028,900
Asset. Corporate debt instrument debt (other) at beginning of year2019-12-31$12,920,461
Asset. Corporate debt instrument debt (other) at beginning of year2019-12-31$12,920,461
Contract administrator fees2019-12-31$32,565
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32019-12-31No
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32019-12-31No
Assets. Corporate common stocks other than exployer securities at end of year2019-12-31$14,302,654
Assets. Corporate common stocks other than exployer securities at end of year2019-12-31$14,302,654
Assets. Corporate common stocks other than exployer securities at beginning of year2019-12-31$9,962,654
Assets. Corporate common stocks other than exployer securities at beginning of year2019-12-31$9,962,654
Liabilities. Value of benefit claims payable at end of year2019-12-31$86,411
Liabilities. Value of benefit claims payable at end of year2019-12-31$86,411
Liabilities. Value of benefit claims payable at beginning of year2019-12-31$156,933
Liabilities. Value of benefit claims payable at beginning of year2019-12-31$156,933
Did the plan have assets held for investment2019-12-31Yes
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31No
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31BAKER TILLY US, LLP
Accountancy firm name2019-12-31BAKER TILLY US, LLP
Accountancy firm EIN2019-12-31390859910
Accountancy firm EIN2019-12-31390859910
2018 : KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2018 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$1,302,496
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$1,669,740
Total income from all sources (including contributions)2018-12-31$3,440,114
Total of all expenses incurred2018-12-31$8,430,399
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$7,386,536
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$4,807,256
Value of total assets at end of year2018-12-31$85,786,735
Value of total assets at beginning of year2018-12-31$91,144,264
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$1,043,863
Total interest from all sources2018-12-31$2,611,416
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$10,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$3,061,979
Assets. Other investments not covered elsewhere at end of year2018-12-31$27,011,999
Assets. Other investments not covered elsewhere at beginning of year2018-12-31$28,377,988
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2018-12-31$1,586,187
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$1,141,191
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$783,002
Administrative expenses (other) incurred2018-12-31$370,301
Liabilities. Value of operating payables at end of year2018-12-31$1,145,563
Liabilities. Value of operating payables at beginning of year2018-12-31$1,373,864
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-4,990,285
Value of net assets at end of year (total assets less liabilities)2018-12-31$84,484,239
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$89,474,524
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Investment advisory and management fees2018-12-31$339,953
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$18,538,165
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$20,915,790
Interest earned on other investments2018-12-31$2,611,416
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2018-12-31$4,584,703
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2018-12-31$4,470,514
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2018-12-31$4,470,514
Expenses. Payments to insurance carriers foe the provision of benefits2018-12-31$2,046,135
Asset value of US Government securities at end of year2018-12-31$11,627,562
Asset value of US Government securities at beginning of year2018-12-31$10,650,545
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-3,978,558
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$1,745,277
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$3,754,214
Asset. Corporate debt instrument debt (other) at end of year2018-12-31$12,920,461
Asset. Corporate debt instrument debt (other) at beginning of year2018-12-31$13,898,137
Contract administrator fees2018-12-31$333,609
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32018-12-31No
Assets. Corporate common stocks other than exployer securities at end of year2018-12-31$9,962,654
Assets. Corporate common stocks other than exployer securities at beginning of year2018-12-31$12,048,288
Liabilities. Value of benefit claims payable at end of year2018-12-31$156,933
Liabilities. Value of benefit claims payable at beginning of year2018-12-31$295,876
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31No
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2018-12-31390859910
2017 : KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2017 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$1,669,740
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$1,323,694
Total income from all sources (including contributions)2017-12-31$12,278,504
Total of all expenses incurred2017-12-31$9,694,370
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$8,514,011
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$5,209,252
Value of total assets at end of year2017-12-31$91,144,264
Value of total assets at beginning of year2017-12-31$88,214,084
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$1,180,359
Total interest from all sources2017-12-31$2,438,739
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$10,000,000
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
Contributions received from participants2017-12-31$3,240,512
Assets. Other investments not covered elsewhere at end of year2017-12-31$28,377,988
Assets. Other investments not covered elsewhere at beginning of year2017-12-31$30,923,368
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2017-12-31$1,607,829
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$783,002
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$756,059
Administrative expenses (other) incurred2017-12-31$534,383
Liabilities. Value of operating payables at end of year2017-12-31$1,373,864
Liabilities. Value of operating payables at beginning of year2017-12-31$908,091
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$2,584,134
Value of net assets at end of year (total assets less liabilities)2017-12-31$89,474,524
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$86,890,390
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
Investment advisory and management fees2017-12-31$285,381
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$20,915,790
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$14,248,117
Interest earned on other investments2017-12-31$2,438,739
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$4,470,514
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-12-31$867,099
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-12-31$867,099
Expenses. Payments to insurance carriers foe the provision of benefits2017-12-31$2,187,623
Asset value of US Government securities at end of year2017-12-31$10,650,545
Asset value of US Government securities at beginning of year2017-12-31$10,500,016
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$4,630,513
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
Contributions received in cash from employer2017-12-31$1,968,740
Employer contributions (assets) at end of year2017-12-31$0
Employer contributions (assets) at beginning of year2017-12-31$291,890
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$4,718,559
Asset. Corporate debt instrument debt (other) at end of year2017-12-31$13,898,137
Asset. Corporate debt instrument debt (other) at beginning of year2017-12-31$15,192,645
Contract administrator fees2017-12-31$360,595
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32017-12-31No
Assets. Corporate common stocks other than exployer securities at end of year2017-12-31$12,048,288
Assets. Corporate common stocks other than exployer securities at beginning of year2017-12-31$15,434,890
Liabilities. Value of benefit claims payable at end of year2017-12-31$295,876
Liabilities. Value of benefit claims payable at beginning of year2017-12-31$415,603
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
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 name2017-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2017-12-31390859910
2016 : KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2016 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$1,323,694
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$1,601,671
Total income from all sources (including contributions)2016-12-31$8,501,891
Total of all expenses incurred2016-12-31$9,259,743
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$8,476,933
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$4,662,262
Value of total assets at end of year2016-12-31$88,214,084
Value of total assets at beginning of year2016-12-31$89,249,913
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$782,810
Total interest from all sources2016-12-31$2,419,681
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$10,000,000
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$2,994,010
Assets. Other investments not covered elsewhere at end of year2016-12-31$30,923,368
Assets. Other investments not covered elsewhere at beginning of year2016-12-31$31,500,520
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2016-12-31$1,481,898
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$756,059
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$802,529
Administrative expenses (other) incurred2016-12-31$24,253
Liabilities. Value of operating payables at end of year2016-12-31$908,091
Liabilities. Value of operating payables at beginning of year2016-12-31$1,127,234
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$-757,852
Value of net assets at end of year (total assets less liabilities)2016-12-31$86,890,390
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$87,648,242
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
Investment advisory and management fees2016-12-31$374,614
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$14,248,117
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$18,612,877
Interest earned on other investments2016-12-31$2,419,681
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$867,099
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$2,430,684
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$2,430,684
Expenses. Payments to insurance carriers foe the provision of benefits2016-12-31$1,910,018
Asset value of US Government securities at end of year2016-12-31$10,500,016
Asset value of US Government securities at beginning of year2016-12-31$11,199,550
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$1,419,948
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31Yes
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$1,668,252
Employer contributions (assets) at end of year2016-12-31$291,890
Employer contributions (assets) at beginning of year2016-12-31$143,347
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$5,085,017
Asset. Corporate debt instrument debt (other) at end of year2016-12-31$15,192,645
Asset. Corporate debt instrument debt (other) at beginning of year2016-12-31$13,414,588
Contract administrator fees2016-12-31$383,943
Assets. Corporate common stocks other than exployer securities at end of year2016-12-31$15,434,890
Assets. Corporate common stocks other than exployer securities at beginning of year2016-12-31$11,145,818
Liabilities. Value of benefit claims payable at end of year2016-12-31$415,603
Liabilities. Value of benefit claims payable at beginning of year2016-12-31$474,437
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN2016-12-31390859910
2015 : KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$-2,049,729
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$2,680,268
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$5,171,214
Total income from all sources (including contributions)2015-12-31$5,545,588
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$9,484,786
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$8,820,783
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$4,692,440
Value of total assets at end of year2015-12-31$88,835,610
Value of total assets at beginning of year2015-12-31$95,265,754
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$664,003
Total interest from all sources2015-12-31$2,462,612
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$382,130
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$10,000,000
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$3,090,348
Assets. Other investments not covered elsewhere at end of year2015-12-31$31,500,520
Assets. Other investments not covered elsewhere at beginning of year2015-12-31$33,122,766
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$531,573
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$629,745
Administrative expenses (other) incurred2015-12-31$230,476
Liabilities. Value of operating payables at end of year2015-12-31$2,205,831
Liabilities. Value of operating payables at beginning of year2015-12-31$4,810,537
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-3,939,198
Value of net assets at end of year (total assets less liabilities)2015-12-31$86,155,342
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$90,094,540
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
Investment advisory and management fees2015-12-31$191,961
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$20,840,253
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$24,596,957
Interest earned on other investments2015-12-31$2,462,612
Income. Interest from US Government securities2015-12-31$242,734
Income. Interest from corporate debt instruments2015-12-31$425,143
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2015-12-31$203,308
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-12-31$69,923
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-12-31$69,923
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$456
Expenses. Payments to insurance carriers foe the provision of benefits2015-12-31$1,350,240
Asset value of US Government securities at end of year2015-12-31$11,199,550
Asset value of US Government securities at beginning of year2015-12-31$9,502,294
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-1,609,464
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31Yes
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$1,602,092
Employer contributions (assets) at end of year2015-12-31$143,347
Employer contributions (assets) at beginning of year2015-12-31$0
Income. Dividends from common stock2015-12-31$359,470
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$7,470,543
Asset. Corporate debt instrument debt (other) at end of year2015-12-31$13,414,588
Asset. Corporate debt instrument debt (other) at beginning of year2015-12-31$15,696,243
Contract administrator fees2015-12-31$433,527
Assets. Corporate common stocks other than exployer securities at end of year2015-12-31$11,145,818
Assets. Corporate common stocks other than exployer securities at beginning of year2015-12-31$11,647,826
Liabilities. Value of benefit claims payable at end of year2015-12-31$474,437
Liabilities. Value of benefit claims payable at beginning of year2015-12-31$360,677
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$41,699,444
Aggregate carrying amount (costs) on sale of assets2015-12-31$40,697,494
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 name2015-12-31GRANT THORNTON LLP
Accountancy firm EIN2015-12-31366055558
2014 : KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$1,439,856
Total unrealized appreciation/depreciation of assets2014-12-31$1,439,856
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$3,380,769
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$1,387,802
Total income from all sources (including contributions)2014-12-31$9,124,333
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$9,732,284
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$8,651,195
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$4,140,587
Value of total assets at end of year2014-12-31$95,173,716
Value of total assets at beginning of year2014-12-31$93,788,700
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$1,081,089
Total interest from all sources2014-12-31$2,571,406
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$487,503
Administrative expenses professional fees incurred2014-12-31$66,427
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$10,000,000
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$3,103,136
Assets. Other investments not covered elsewhere at end of year2014-12-31$33,122,766
Assets. Other investments not covered elsewhere at beginning of year2014-12-31$28,725,846
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$537,707
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$1,450,456
Administrative expenses (other) incurred2014-12-31$300,856
Liabilities. Value of operating payables at end of year2014-12-31$3,020,092
Liabilities. Value of operating payables at beginning of year2014-12-31$1,094,906
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$-607,951
Value of net assets at end of year (total assets less liabilities)2014-12-31$91,792,947
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$92,400,898
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
Investment advisory and management fees2014-12-31$195,985
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$24,596,957
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$25,312,446
Interest earned on other investments2014-12-31$2,571,406
Income. Interest from US Government securities2014-12-31$249,648
Income. Interest from corporate debt instruments2014-12-31$453,317
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-12-31$69,923
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-12-31$5,141
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-12-31$5,141
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$440
Expenses. Payments to insurance carriers foe the provision of benefits2014-12-31$1,219,716
Asset value of US Government securities at end of year2014-12-31$9,502,294
Asset value of US Government securities at beginning of year2014-12-31$9,267,368
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$972,484
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31Yes
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$1,037,451
Employer contributions (assets) at end of year2014-12-31$0
Employer contributions (assets) at beginning of year2014-12-31$59,122
Income. Dividends from common stock2014-12-31$424,071
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$7,431,479
Asset. Corporate debt instrument debt (other) at end of year2014-12-31$15,696,243
Asset. Corporate debt instrument debt (other) at beginning of year2014-12-31$15,997,771
Contract administrator fees2014-12-31$780,233
Assets. Corporate common stocks other than exployer securities at end of year2014-12-31$11,647,826
Assets. Corporate common stocks other than exployer securities at beginning of year2014-12-31$13,029,672
Liabilities. Value of benefit claims payable at end of year2014-12-31$360,677
Liabilities. Value of benefit claims payable at beginning of year2014-12-31$292,896
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$19,900,900
Aggregate carrying amount (costs) on sale of assets2014-12-31$19,454,786
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 name2014-12-31GRANT THORNTON LLP
Accountancy firm EIN2014-12-31366055558
2013 : KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$1,029,943
Total unrealized appreciation/depreciation of assets2013-12-31$1,029,943
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$1,387,802
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$917,096
Total income from all sources (including contributions)2013-12-31$11,418,085
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$8,993,495
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$8,285,287
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$4,268,262
Value of total assets at end of year2013-12-31$93,788,700
Value of total assets at beginning of year2013-12-31$90,893,404
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$708,208
Total interest from all sources2013-12-31$1,824,851
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$640,111
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$640,111
Administrative expenses professional fees incurred2013-12-31$138,463
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$10,000,000
Were there any nonexempt tranactions with any party-in-interest2013-12-31Yes
Amount of non-exempt transactions with any party-in-interest2013-12-31$403,667
Contributions received from participants2013-12-31$3,184,393
Assets. Other investments not covered elsewhere at end of year2013-12-31$28,725,846
Assets. Other investments not covered elsewhere at beginning of year2013-12-31$30,449,426
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$1,450,456
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$1,562,398
Administrative expenses (other) incurred2013-12-31$318,186
Liabilities. Value of operating payables at end of year2013-12-31$1,094,906
Liabilities. Value of operating payables at beginning of year2013-12-31$671,592
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$2,424,590
Value of net assets at end of year (total assets less liabilities)2013-12-31$92,400,898
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$89,976,308
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
Investment advisory and management fees2013-12-31$145,124
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$25,312,446
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$21,779,486
Interest earned on other investments2013-12-31$1,824,851
Income. Interest from US Government securities2013-12-31$266,571
Income. Interest from corporate debt instruments2013-12-31$415,753
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-12-31$5,141
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$531
Expenses. Payments to insurance carriers foe the provision of benefits2013-12-31$2,145,622
Asset value of US Government securities at end of year2013-12-31$9,267,368
Asset value of US Government securities at beginning of year2013-12-31$9,207,840
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$3,654,918
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31Yes
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$1,083,869
Employer contributions (assets) at end of year2013-12-31$0
Employer contributions (assets) at beginning of year2013-12-31$4,361,992
Income. Dividends from common stock2013-12-31$260,056
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$6,139,665
Asset. Corporate debt instrument debt (other) at end of year2013-12-31$15,997,771
Asset. Corporate debt instrument debt (other) at beginning of year2013-12-31$13,502,402
Contract administrator fees2013-12-31$390,022
Assets. Corporate common stocks other than exployer securities at end of year2013-12-31$13,029,672
Assets. Corporate common stocks other than exployer securities at beginning of year2013-12-31$10,029,860
Liabilities. Value of benefit claims payable at end of year2013-12-31$292,896
Liabilities. Value of benefit claims payable at beginning of year2013-12-31$245,504
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$26,582,932
Aggregate carrying amount (costs) on sale of assets2013-12-31$26,200,541
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 name2013-12-31GRANT THORNTON LLP
Accountancy firm EIN2013-12-31366055558
2012 : KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$3,562,101
Total unrealized appreciation/depreciation of assets2012-12-31$3,562,101
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$917,096
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$349,743
Total income from all sources (including contributions)2012-12-31$20,314,161
Total loss/gain on sale of assets2012-12-31$-1,241,305
Total of all expenses incurred2012-12-31$8,074,565
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$7,692,176
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$14,095,726
Value of total assets at end of year2012-12-31$89,644,726
Value of total assets at beginning of year2012-12-31$77,754,873
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$382,389
Total interest from all sources2012-12-31$1,352,388
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$656,202
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$439,659
Administrative expenses professional fees incurred2012-12-31$149,792
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$5,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Amount of non-exempt transactions with any party-in-interest2012-12-31$4,361,992
Contributions received from participants2012-12-31$2,745,905
Assets. Other investments not covered elsewhere at end of year2012-12-31$30,449,426
Assets. Other investments not covered elsewhere at beginning of year2012-12-31$27,383,015
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$1,562,398
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$555,307
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2012-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$0
Other income not declared elsewhere2012-12-31$-11,737
Administrative expenses (other) incurred2012-12-31$123,467
Liabilities. Value of operating payables at end of year2012-12-31$671,592
Liabilities. Value of operating payables at beginning of year2012-12-31$0
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$12,239,596
Value of net assets at end of year (total assets less liabilities)2012-12-31$89,644,726
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$77,405,130
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
Investment advisory and management fees2012-12-31$185,452
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$18,856,272
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$15,460,358
Interest earned on other investments2012-12-31$698,625
Income. Interest from US Government securities2012-12-31$253,822
Income. Interest from corporate debt instruments2012-12-31$398,585
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-12-31$2,355,948
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-12-31$3,339,695
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-12-31$3,339,695
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$1,356
Expenses. Payments to insurance carriers foe the provision of benefits2012-12-31$1,848,799
Asset value of US Government securities at end of year2012-12-31$9,207,840
Asset value of US Government securities at beginning of year2012-12-31$7,989,245
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$1,900,786
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$11,349,821
Employer contributions (assets) at end of year2012-12-31$4,238,875
Employer contributions (assets) at beginning of year2012-12-31$2,116,981
Income. Dividends from common stock2012-12-31$216,543
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$5,843,377
Asset. Corporate debt instrument debt (other) at end of year2012-12-31$14,506,505
Asset. Corporate debt instrument debt (other) at beginning of year2012-12-31$11,873,975
Contract administrator fees2012-12-31$382,389
Assets. Corporate common stocks other than exployer securities at end of year2012-12-31$10,029,860
Assets. Corporate common stocks other than exployer securities at beginning of year2012-12-31$9,036,297
Liabilities. Value of benefit claims payable at end of year2012-12-31$245,504
Liabilities. Value of benefit claims payable at beginning of year2012-12-31$349,743
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$106,094,948
Aggregate carrying amount (costs) on sale of assets2012-12-31$107,336,253
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31GRANT THORNTON LLP
Accountancy firm EIN2012-12-31366055558
2011 : KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$1,191,804
Total unrealized appreciation/depreciation of assets2011-12-31$1,191,804
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$349,743
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$490,884
Total income from all sources (including contributions)2011-12-31$18,615,689
Total loss/gain on sale of assets2011-12-31$-40,566
Total of all expenses incurred2011-12-31$7,405,260
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$7,007,579
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$596,649
Value of total assets at end of year2011-12-31$75,637,892
Value of total assets at beginning of year2011-12-31$64,918,347
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$397,681
Total interest from all sources2011-12-31$1,836,095
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$509,033
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$320,661
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$5,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$2,209,159
Assets. Other investments not covered elsewhere at end of year2011-12-31$27,383,015
Assets. Other investments not covered elsewhere at beginning of year2011-12-31$18,632,364
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$555,307
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$487,602
Other income not declared elsewhere2011-12-31$15,602,037
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
Income. Non cash contributions2011-12-31$45,181
Value of net income/loss2011-12-31$11,210,429
Value of net assets at end of year (total assets less liabilities)2011-12-31$75,637,892
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$64,427,463
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$15,460,358
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$13,487,432
Interest earned on other investments2011-12-31$908,943
Income. Interest from US Government securities2011-12-31$323,456
Income. Interest from corporate debt instruments2011-12-31$602,550
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-12-31$3,339,695
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-12-31$3,229,095
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-12-31$3,229,095
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$1,146
Expenses. Payments to insurance carriers foe the provision of benefits2011-12-31$1,446,614
Asset value of US Government securities at end of year2011-12-31$7,989,245
Asset value of US Government securities at beginning of year2011-12-31$9,089,708
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-1,079,363
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$551,468
Employer contributions (assets) at end of year2011-12-31$2,116,981
Employer contributions (assets) at beginning of year2011-12-31$167,569
Income. Dividends from common stock2011-12-31$188,372
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$5,560,965
Asset. Corporate debt instrument debt (other) at end of year2011-12-31$11,873,975
Asset. Corporate debt instrument debt (other) at beginning of year2011-12-31$11,714,607
Contract administrator fees2011-12-31$397,681
Assets. Corporate common stocks other than exployer securities at end of year2011-12-31$9,036,297
Assets. Corporate common stocks other than exployer securities at beginning of year2011-12-31$8,109,970
Liabilities. Value of benefit claims payable at end of year2011-12-31$349,743
Liabilities. Value of benefit claims payable at beginning of year2011-12-31$490,884
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$53,938,642
Aggregate carrying amount (costs) on sale of assets2011-12-31$53,979,208
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31GRANT THORNTON LLP
Accountancy firm EIN2011-12-31366055558
2010 : KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$896,571
Total unrealized appreciation/depreciation of assets2010-12-31$896,571
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$490,884
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$2,497,752
Total income from all sources (including contributions)2010-12-31$8,123,042
Total loss/gain on sale of assets2010-12-31$141,756
Total of all expenses incurred2010-12-31$8,852,631
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$8,452,154
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$2,800,372
Value of total assets at end of year2010-12-31$64,918,347
Value of total assets at beginning of year2010-12-31$67,654,804
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$400,477
Total interest from all sources2010-12-31$1,816,829
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$445,083
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$256,966
Administrative expenses professional fees incurred2010-12-31$400,477
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$5,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$1,891,512
Assets. Other investments not covered elsewhere at end of year2010-12-31$18,632,364
Assets. Other investments not covered elsewhere at beginning of year2010-12-31$20,793,727
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$487,602
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$515,472
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$2,274,126
Other income not declared elsewhere2010-12-31$119,058
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$-729,589
Value of net assets at end of year (total assets less liabilities)2010-12-31$64,427,463
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$65,157,052
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$13,487,432
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$10,643,021
Interest earned on other investments2010-12-31$764,440
Income. Interest from US Government securities2010-12-31$420,007
Income. Interest from corporate debt instruments2010-12-31$629,869
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2010-12-31$3,229,095
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2010-12-31$2,195,273
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2010-12-31$2,195,273
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$2,513
Expenses. Payments to insurance carriers foe the provision of benefits2010-12-31$1,581,876
Asset value of US Government securities at end of year2010-12-31$9,089,708
Asset value of US Government securities at beginning of year2010-12-31$11,252,053
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$1,903,373
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31Yes
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$908,860
Employer contributions (assets) at end of year2010-12-31$167,569
Income. Dividends from common stock2010-12-31$188,117
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$6,870,278
Asset. Corporate debt instrument debt (other) at end of year2010-12-31$11,714,607
Asset. Corporate debt instrument debt (other) at beginning of year2010-12-31$11,002,774
Assets. Corporate common stocks other than exployer securities at end of year2010-12-31$8,109,970
Assets. Corporate common stocks other than exployer securities at beginning of year2010-12-31$11,252,484
Liabilities. Value of benefit claims payable at end of year2010-12-31$490,884
Liabilities. Value of benefit claims payable at beginning of year2010-12-31$223,626
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$37,933,193
Aggregate carrying amount (costs) on sale of assets2010-12-31$37,791,437
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31GRANT THORNTON LLP
Accountancy firm EIN2010-12-31366055558

Form 5500 Responses for KOMATSU AMERICA CORP. RETIREE WELFARE PLAN

2022: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan funding arrangement – General assets of the sponsorYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2022-01-01Plan benefit arrangement – General assets of the sponsorYes
2021: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan funding arrangement – General assets of the sponsorYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2021-01-01Plan benefit arrangement – General assets of the sponsorYes
2020: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan funding arrangement – General assets of the sponsorYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2020-01-01Plan benefit arrangement – General assets of the sponsorYes
2019: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan funding arrangement – General assets of the sponsorYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2019-01-01Plan benefit arrangement – General assets of the sponsorYes
2018: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan funding arrangement – General assets of the sponsorYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2018-01-01Plan benefit arrangement – General assets of the sponsorYes
2017: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan funding arrangement – General assets of the sponsorYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2017-01-01Plan benefit arrangement – General assets of the sponsorYes
2016: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedYes
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan funding arrangement – General assets of the sponsorYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2016-01-01Plan benefit arrangement – General assets of the sponsorYes
2015: KOMATSU AMERICA CORP. RETIREE WELFARE 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 funding arrangement – General assets of the sponsorYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2015-01-01Plan benefit arrangement – General assets of the sponsorYes
2014: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedYes
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 funding arrangement – General assets of the sponsorYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2014-01-01Plan benefit arrangement – General assets of the sponsorYes
2013: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedYes
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 funding arrangement – General assets of the sponsorYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2013-01-01Plan benefit arrangement – General assets of the sponsorYes
2012: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedYes
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 funding arrangement – General assets of the sponsorYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2012-01-01Plan benefit arrangement – General assets of the sponsorYes
2011: KOMATSU AMERICA CORP. RETIREE WELFARE PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedYes
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: KOMATSU AMERICA CORP. RETIREE WELFARE 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

PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number52044
Policy instance 2
Insurance contract or identification number52044
Number of Individuals Covered1446
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $4,151
Total amount of fees paid to insurance companyUSD $237
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitYes
Long Term Disability Insurance Welfare BenefitYes
Other welfare benefits providedAD&D, NY FAMILY MEDICAL LEAVE
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,151
Insurance broker organization code?3
Amount paid for insurance broker fees237
Additional information about fees paid to insurance brokerTHIRD PARTY ADMINISTRATION FEES
EYEMED VISION CARE (National Association of Insurance Commissioners NAIC id number: 71870 )
Policy contract number10186511003
Policy instance 1
Insurance contract or identification number10186511003
Number of Individuals Covered37
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Vision Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $2,423
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Insurance broker organization code?3
BLUECROSS BLUESHIELD OF TEXAS (National Association of Insurance Commissioners NAIC id number: 70670 )
Policy contract number016633
Policy instance 3
Insurance contract or identification number016633
Number of Individuals Covered1446
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $25,149
Total amount of fees paid to insurance companyUSD $2,262
Health Insurance Welfare BenefitYes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $25,149
Amount paid for insurance broker fees2262
Additional information about fees paid to insurance brokerSPECIAL PROGRAMS
Insurance broker organization code?3
EYEMED VISION CARE (National Association of Insurance Commissioners NAIC id number: 71870 )
Policy contract number10186511003
Policy instance 1
Insurance contract or identification number10186511003
Number of Individuals Covered31
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Vision Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $2,761
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Insurance broker organization code?3
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract number246166
Policy instance 4
Insurance contract or identification number246166
Number of Individuals Covered406
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $43,600
Total amount of fees paid to insurance companyUSD $0
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $724,563
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $43,600
Insurance broker organization code?3
BLUECROSS BLUESHIELD OF TEXAS (National Association of Insurance Commissioners NAIC id number: 70670 )
Policy contract number016633
Policy instance 3
Insurance contract or identification number016633
Number of Individuals Covered1561
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $40,539
Total amount of fees paid to insurance companyUSD $1,932
Health Insurance Welfare BenefitYes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $40,539
Amount paid for insurance broker fees1932
Additional information about fees paid to insurance brokerSPECIAL PROGRAMS
Insurance broker organization code?3
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number52044
Policy instance 2
Insurance contract or identification number52044
Number of Individuals Covered1561
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $25,517
Total amount of fees paid to insurance companyUSD $151
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitYes
Long Term Disability Insurance Welfare BenefitYes
Other welfare benefits providedAD&D, NY FAMILY MEDICAL LEAVE
Welfare Benefit Premiums Paid to CarrierUSD $1,530,939
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $24,043
Insurance broker organization code?3
Amount paid for insurance broker fees151
Additional information about fees paid to insurance brokerTHIRD PARTY ADMINISTRATOR FEES
EYEMED VISION CARE (National Association of Insurance Commissioners NAIC id number: 71870 )
Policy contract number10186511003
Policy instance 1
Insurance contract or identification number10186511003
Number of Individuals Covered41
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $222
Vision Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $2,693
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees222
Additional information about fees paid to insurance brokerFEES ON PREMIUMS BILLED
Insurance broker organization code?3
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number52044
Policy instance 2
Insurance contract or identification number52044
Number of Individuals Covered1445
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $27,150
Total amount of fees paid to insurance companyUSD $0
Life Insurance Welfare BenefitYes
Temporary Disability Insurance Welfare BenefitYes
Long Term Disability Insurance Welfare BenefitYes
Other welfare benefits providedAD&D, NY FAMILY MEDICAL LEAVE
Welfare Benefit Premiums Paid to CarrierUSD $1,461,143
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $13,896
Insurance broker organization code?3
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract number246166
Policy instance 4
Insurance contract or identification number246166
Number of Individuals Covered411
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $44,400
Total amount of fees paid to insurance companyUSD $0
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $983,281
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $44,400
Insurance broker organization code?3
BLUECROSS BLUESHIELD OF TEXAS (National Association of Insurance Commissioners NAIC id number: 70670 )
Policy contract number016633
Policy instance 3
Insurance contract or identification number016633
Number of Individuals Covered1445
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $38,061
Total amount of fees paid to insurance companyUSD $2,409
Health Insurance Welfare BenefitYes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $38,061
Amount paid for insurance broker fees2409
Additional information about fees paid to insurance brokerSPECIAL PROGRAMS
Insurance broker organization code?3
BLUECROSS BLUESHIELD OF TEXAS (National Association of Insurance Commissioners NAIC id number: 70670 )
Policy contract number016633
Policy instance 3
Insurance contract or identification number016633
Number of Individuals Covered1005
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $4,662
Total amount of fees paid to insurance companyUSD $0
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $22,953
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $4,662
Insurance broker organization code?3
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number52044
Policy instance 2
Insurance contract or identification number52044
Number of Individuals Covered1420
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $61,733
Total amount of fees paid to insurance companyUSD $358
Life Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $1,890,132
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $61,733
Insurance broker organization code?3
Amount paid for insurance broker fees358
EYEMED VISION CARE (National Association of Insurance Commissioners NAIC id number: 62146 )
Policy contract number12198702
Policy instance 1
Insurance contract or identification number12198702
Number of Individuals Covered27
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $309
Vision Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $3,749
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees309
Insurance broker organization code?3
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract number246166
Policy instance 4
Insurance contract or identification number246166
Number of Individuals Covered415
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $45,100
Total amount of fees paid to insurance companyUSD $0
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $857,402
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $43,700
Insurance broker organization code?3
VISION SERVICE PLAN (National Association of Insurance Commissioners NAIC id number: 12516 )
Policy contract number12198702
Policy instance 1
Insurance contract or identification number12198702
Number of Individuals Covered32
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $119
Total amount of fees paid to insurance companyUSD $1,014
Vision Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $5,963
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $119
Amount paid for insurance broker fees1014
Insurance broker organization code?3
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number52044
Policy instance 2
Insurance contract or identification number52044
Number of Individuals Covered1380
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $61,180
Total amount of fees paid to insurance companyUSD $354
Life Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $1,515,201
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $55,218
Additional information about fees paid to insurance brokerSALES AND SERVICE COMPENSATION
Insurance broker organization code?3
Amount paid for insurance broker fees355
BLUECROSS BLUESHIELD OF TEXAS (National Association of Insurance Commissioners NAIC id number: 70670 )
Policy contract number016633
Policy instance 3
Insurance contract or identification number016633
Number of Individuals Covered968
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $5,239
Total amount of fees paid to insurance companyUSD $0
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $175,960
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $5,239
Additional information about fees paid to insurance brokerCOMMISIONS PAID
Insurance broker organization code?3
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract number246166
Policy instance 4
Insurance contract or identification number246166
Number of Individuals Covered412
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $22,650
Total amount of fees paid to insurance companyUSD $0
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $962,413
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $22,650
Additional information about fees paid to insurance brokerCOMMISIONS PAID
Insurance broker organization code?3
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract number246166
Policy instance 4
Insurance contract or identification number246166
Number of Individuals Covered412
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $23,650
Total amount of fees paid to insurance companyUSD $0
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $1,022,664
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $23,650
Additional information about fees paid to insurance brokerCOMMISSIONS PAID
Insurance broker organization code?3
Insurance broker nameVERITAS RISK SERVICES
BLUECROSS BLUESHIELD OF TEXAS (National Association of Insurance Commissioners NAIC id number: 70670 )
Policy contract number016633
Policy instance 3
Insurance contract or identification number016633
Number of Individuals Covered595
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $3,640
Total amount of fees paid to insurance companyUSD $0
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $108,775
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $3,640
Additional information about fees paid to insurance brokerCOMMISSIONS AND CONSULTANT SERVICE FEES
Insurance broker organization code?3
Insurance broker nameVERITAS RISK SERVICES
VISION SERVICE PLAN (National Association of Insurance Commissioners NAIC id number: 12516 )
Policy contract number12198702
Policy instance 1
Insurance contract or identification number12198702
Number of Individuals Covered31
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $109
Total amount of fees paid to insurance companyUSD $925
Vision Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $5,439
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $109
Amount paid for insurance broker fees925
Insurance broker organization code?3
Insurance broker nameVERITAS RISK SERVICES
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number52044
Policy instance 2
Insurance contract or identification number52044
Number of Individuals Covered1007
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $77,995
Total amount of fees paid to insurance companyUSD $225
Life Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $809,840
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $40,466
Additional information about fees paid to insurance brokerSALES AND SERVICE COMPENSATION
Insurance broker organization code?3
Amount paid for insurance broker fees225
Insurance broker nameAXA ASSISTANCE, USA
VISION SERVICE PLAN (National Association of Insurance Commissioners NAIC id number: 12516 )
Policy contract number12198702
Policy instance 1
Insurance contract or identification number12198702
Number of Individuals Covered7
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $243
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 BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $1,427
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $243
Insurance broker organization code?3
Insurance broker nameVERITAS RISK SERVICES
LIFE INSURANCE COMPANY OF NORTH AMERICA (National Association of Insurance Commissioners NAIC id number: 65498 )
Policy contract numberFLX964620
Policy instance 3
Insurance contract or identification numberFLX964620
Number of Individuals Covered1005
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $1,094,420
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract numberR4369
Policy instance 2
Insurance contract or identification numberR4369
Number of Individuals Covered221
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $13,300
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 BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $441,939
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $13,300
Insurance broker organization code?3
Insurance broker nameVERITAS RISK SERVICES
LIFE INSURANCE COMPANY OF NORTH AMERICA (National Association of Insurance Commissioners NAIC id number: 65498 )
Policy contract numberFLX964620
Policy instance 2
Insurance contract or identification numberFLX964620
Number of Individuals Covered1247
Insurance policy start date2014-03-01
Insurance policy end date2014-12-31
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $646,307
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract numberR4369
Policy instance 1
Insurance contract or identification numberR4369
Number of Individuals Covered220
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
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?No
Health Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $426,640
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract numberR4369
Policy instance 4
Insurance contract or identification numberR4369
Number of Individuals Covered220
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
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?No
Health Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $426,640
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
LIFE INSURANCE COMPANY OF NORTH AMERICA (National Association of Insurance Commissioners NAIC id number: 65498 )
Policy contract numberFLX964620
Policy instance 3
Insurance contract or identification numberFLX964620
Number of Individuals Covered1247
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $646,307
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract numberR9249
Policy instance 3
Insurance contract or identification numberR9249
Number of Individuals Covered3
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
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?No
Health Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $4,413
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
VISION SERVICE PLAN (National Association of Insurance Commissioners NAIC id number: 12516 )
Policy contract number12198702
Policy instance 1
Insurance contract or identification number12198702
Number of Individuals Covered12
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $47
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 BenefitYes
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
VISION SERVICE PLAN (National Association of Insurance Commissioners NAIC id number: 12516 )
Policy contract number12198702
Policy instance 2
Insurance contract or identification number12198702
Number of Individuals Covered12
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $47
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 BenefitYes
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 $47
Insurance broker organization code?3
Insurance broker nameVERITAS RISK SERVICES
LIFE INSURANCE COMPANY OF NORTH AMERICA (National Association of Insurance Commissioners NAIC id number: 65498 )
Policy contract numberFLX964620
Policy instance 2
Insurance contract or identification numberFLX964620
Number of Individuals Covered1411
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $714,869
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract numberR4369
Policy instance 3
Insurance contract or identification numberR4369
Number of Individuals Covered204
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?No
Health Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $439,465
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
VISION SERVICE PLAN (National Association of Insurance Commissioners NAIC id number: 12516 )
Policy contract number12198702
Policy instance 1
Insurance contract or identification number12198702
Number of Individuals Covered30
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $76
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 BenefitYes
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 $76
Insurance broker organization code?3
Insurance broker nameVERITAS RISK SERVICES
VISION SERVICE PLAN (National Association of Insurance Commissioners NAIC id number: 12516 )
Policy contract number12198702
Policy instance 3
Insurance contract or identification number12198702
Number of Individuals Covered30
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $76
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 BenefitYes
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
LIFE INSURANCE COMPANY OF NORTH AMERICA (National Association of Insurance Commissioners NAIC id number: 65498 )
Policy contract numberFLX964620
Policy instance 1
Insurance contract or identification numberFLX964620
Number of Individuals Covered952
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?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $714,869
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract numberR4369
Policy instance 2
Insurance contract or identification numberR4369
Number of Individuals Covered204
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?No
Health Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $439,465
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HUMANA HEALTH PLAN, INC. (National Association of Insurance Commissioners NAIC id number: 95885 )
Policy contract number549438
Policy instance 5
Insurance contract or identification number549438
Number of Individuals Covered57
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $12,166
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $818,091
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
LIFE INSURANCE COMPANY OF NORTH AMERICA (National Association of Insurance Commissioners NAIC id number: 65498 )
Policy contract numberFLX964620
Policy instance 1
Insurance contract or identification numberFLX964620
Number of Individuals Covered868
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $10,227
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 BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $314,169
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Amount paid for insurance broker fees10227
Additional information about fees paid to insurance brokerBONUS COMPENSATION
Insurance broker organization code?3
Insurance broker nameVERITAS RISK SERVICES
HUMANA HEALTH PLAN, INC. (National Association of Insurance Commissioners NAIC id number: 95885 )
Policy contract number549438
Policy instance 2
Insurance contract or identification number549438
Number of Individuals Covered57
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $12,168
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 BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $818,200
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $12,168
Insurance broker organization code?3
Insurance broker nameVERITAS RISK SERVICES
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract numberR4369
Policy instance 3
Insurance contract or identification numberR4369
Number of Individuals Covered179
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?No
Health Insurance Welfare BenefitYes
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
Welfare Benefit Premiums Paid to CarrierUSD $427,719
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
VISION SERVICE PLAN (National Association of Insurance Commissioners NAIC id number: 12516 )
Policy contract number12198702
Policy instance 4
Insurance contract or identification number12198702
Number of Individuals Covered35
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $129
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 BenefitYes
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 $129
Insurance broker organization code?3
Insurance broker nameVERITAS RISK SERVICES
BLUECROSS BLUESHIELD OF TEXAS (National Association of Insurance Commissioners NAIC id number: 70670 )
Policy contract number16633
Policy instance 4
Insurance contract or identification number16633
Number of Individuals Covered105
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $43,716
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
LIFE INSURANCE COMPANY OF NORTH AMERICA (National Association of Insurance Commissioners NAIC id number: 65498 )
Policy contract numberFLX964620
Policy instance 3
Insurance contract or identification numberFLX964620
Number of Individuals Covered868
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $19,629
Life Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $603,013
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract numberR4369
Policy instance 2
Insurance contract or identification numberR4369
Number of Individuals Covered179
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $427,719
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
VISION SERVICE PLAN (National Association of Insurance Commissioners NAIC id number: 12516 )
Policy contract number12198702
Policy instance 1
Insurance contract or identification number12198702
Number of Individuals Covered22
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $81
Vision Insurance Welfare BenefitYes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
VISION SERVICE PLAN (National Association of Insurance Commissioners NAIC id number: 12516 )
Policy contract number12198702
Policy instance 1
Insurance contract or identification number12198702
Number of Individuals Covered38
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $137
Vision Insurance Welfare BenefitYes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract numberQ6166
Policy instance 2
Insurance contract or identification numberQ6166
Number of Individuals Covered158
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $361,001
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HARTFORD LIFE AND ACCIDENT INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70815 )
Policy contract number675853G
Policy instance 3
Insurance contract or identification number675853G
Number of Individuals Covered861
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Life Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $428,979
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
BLUECROSS BLUESHIELD OF TEXAS (National Association of Insurance Commissioners NAIC id number: 70670 )
Policy contract number1663
Policy instance 4
Insurance contract or identification number1663
Number of Individuals Covered95
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $47,957
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HUMANA HEALTH PLAN, INC. (National Association of Insurance Commissioners NAIC id number: 95885 )
Policy contract number549438
Policy instance 5
Insurance contract or identification number549438
Number of Individuals Covered165
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $16,902
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $1,128,230
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HUMANA INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 73288 )
Policy contract numberQ6166
Policy instance 5
Insurance contract or identification numberQ6166
Number of Individuals Covered144
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $274,555
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HARTFORD LIFE AND ACCIDENT INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70815 )
Policy contract number675853G
Policy instance 2
Insurance contract or identification number675853G
Number of Individuals Covered880
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Life Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $455,577
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
VISION SERVICE PLAN (National Association of Insurance Commissioners NAIC id number: 12516 )
Policy contract number12198702
Policy instance 3
Insurance contract or identification number12198702
Number of Individuals Covered46
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $144
Vision Insurance Welfare BenefitYes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
HUMANA HEALTH PLAN, INC. (National Association of Insurance Commissioners NAIC id number: 95885 )
Policy contract number549438
Policy instance 4
Insurance contract or identification number549438
Number of Individuals Covered69
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $12,817
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $851,696
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
BLUECROSS BLUESHIELD OF TEXAS (National Association of Insurance Commissioners NAIC id number: 70670 )
Policy contract number16633
Policy instance 1
Insurance contract or identification number16633
Number of Individuals Covered150
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Health Insurance Welfare BenefitYes
Welfare Benefit Premiums Paid to CarrierUSD $41,540
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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