Back to top

Overview

Plan Information

  • Plan Year01/01/2011 — 12/31/2011
  • Date of Plan01/01/1987
  • Net Assets as of 12/31/2011 $11,726,907
  • Plan Number2
  • Plan Type Single Employer
  • Is the plan collectively bargained? No
  • Did the plan file for an extension of time or the DFVC Program?Yes
  • Plan Funding ArrangementInsurance
  • Plan Benefit ArrangementInsurance

Participant Information as of 12/31/2011

  • Active (Eligible) Participants147
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits31
  • Subtotal178
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total178
  • Total number of participants as of 01/01/2011199
  • Number of participants with account balances172
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested0

Expenses

  • Total Benefit Payments$0
  • Corrective Distributions$0
  • Administrative Service Providers$0
  • Other Expenses$0
  • Total Expenses$0
  • Total Transfers$0

Sponsor Information

  • Address4621 East Tech Drive
  • CityCincinnati
  • StateOH
  • Zip45245-1044
  • Telephone(513) 528-5674
  • EIN31-1025055
  • Industry Code423800
  • Named AdministratorSylvia Sanford

Plan Administrator Information

  • Administrator NameLns America, Inc.
  • Address4621 East Tech Drive
  • CityCincinnati
  • StateOH
  • Zip45245-1044
  • Telephone(513) 528-5674
  • Administrator EIN31-1025055

Audit Information

  • Audit StatusAudited
  • AuditorRudler and Associates, Inc.
  • Auditor EIN31-1048275
  • Audit Opinion Disclaimer
  • Audit TypeLimited Scope Audit

Benefits Provided Under the Plan

Code Benefit Description
2E Profit-sharing A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature.
2F ERISA section 404(c) Plan This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
2G Total participant-directed account plan Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
2J Code section 401(k) feature A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
2K Code section 401(m) arrangement Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contributions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
3H Controlled Group Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

Questions and Answers

Question Answer Amount
During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? No
Were any loans by the plan or fixed income obligations due the plan in default as of the close of plan year or classified during the year as uncollectible? Disregard participant loans secured by participant's account balance. No
Were any leases to which the plan was a party in default or classified during the year as uncollectible? No
Were there any nonexempt transactions with any party-in-interest? No
Was this plan covered by a fidelity bond? Yes $500,000
Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No
Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan have assets held for investment? Yes
Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? No
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No
Has the plan failed to provide any benefit when due under the plan? No
If this is an individual account plan, was there a blackout period? No
If there was a blackout period, have you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3? No

Financials

Income and Expense Statement

Income $567,311
Contributions $943,984
Cash Contributions $943,984
Cash from Employers $358,704
Cash from Participants $560,359
Others (including rollovers) $24,921
Noncash Contributions $0
Total Earnings on Investments $-376,673
Total Interest $67,616
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $14,478
Interest from Other Investments $53,138
Total Dividends $0
Preferred Stock $0
Common Stock $0
Rents $0
Net gain (loss) on sale of assets $0
Aggregate Proceeds $0
Aggregate Carrying Amount $0
Total Unrealized Appreciation (depreciation) of assets $0
Real Estate $0
Other $0
Net investment gain (loss) from common/collective trusts $0
Net investment gain (loss) from pooled separate accounts $0
Net investment gain (loss) from master trust investment accounts $0
Net investment gain (loss) from 103-12 investment entities $0
Net investment gain (loss) from registered investment companies $-444,289
Other Income $0
Expenses $863,710
Total Benefit Payments $856,831
Directly to participants or beneficiaries, including direct rollovers $856,831
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $0
Certain deemed distributions of participant loans $0
Interest expense $0
Total Administrative Expenses $6,879
Professional Fees $6,879
Contract Administrator Fees $0
Investment Advisory and management fees $0
Other Administrative Fees $0
Net Income $-296,399
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2011 12/31/2010 Change YOY
Total Assets $11,726,907 $12,023,306 -2.47%
Total noninterest-bearing cash $0 $0 0.0%
Receivables $0 $0 0.0%
Employer Contributions $0 $0 0.0%
Participant Contributions $0 $0 0.0%
Other Contributions $0 $0 0.0%
General Investments $0 $0 0.0%
Interest-bearing cash $0 $0 0.0%
U.S. Government Securities $0 $0 0.0%
Corporate Debt Instruments $0 $0 0.0%
Preferred $0 $0 0.0%
All Other $0 $0 0.0%
Corporate Stocks $0 $0 0.0%
Preferred $0 $0 0.0%
Common $0 $0 0.0%
Partnership/joint venture interests $0 $0 0.0%
Real estate (other than employer real property) $0 $0 0.0%
Loans (other than to participants) $0 $0 0.0%
Participants Loans $336,427 $359,775 -6.49%
Value of interest in common/collective trusts $0 $0 0.0%
Value of interest in pooled separate accounts $0 $0 0.0%
Value of interest in master trust investment accounts $0 $0 0.0%
Value of interest in 103-12 investment entities $0 $0 0.0%
Value of interest in registered investment companies $9,618,242 $9,773,852 -1.59%
Value of funds held in insurance co. general account $1,772,238 $1,889,679 -6.21%
Other Investments $0 $0 0.0%
Employer-related Investments $0 $0 0.0%
Employer Securities $0 $0 0.0%
Employer Real Property $0 $0 0.0%
Buildings and other property used in plan operation $0 $0 0.0%
Total Liabilities $0 $0 0.0%
Benefit Claims Payable (1) $0 $0 0.0%
Operating Payables (1) $0 $0 0.0%
Acquisition Indebtedness (1) $0 $0 0.0%
Other liabilities (1) $0 $0 0.0%
Net Assets $11,726,907 $12,023,306 -2.47%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

There is no information on eligible indirect compensation for this plan.

Other Service Providers Receiving Direct or Indirect Compensation

Name Nature of Service Relationship to Plan Sponsor Direct Compensation Paid by Plan Indirect Compensation Paid by Plan Total Compensation
Ing Mutual Funds Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Product Provi $0 $50,730 $50,730
Ing Life Insurance and Annuity Co Investment advisory (participants), Sub-transfer agency fees, Recordkeeping fees, Account maintenance fees, Other investment fees and expenses Service Provider $0 $45,861 $45,861
Ing Financial Advisers Distribution (12b-1) fees Broker/ Dealer $0 $22,918 $22,918
American Funds Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Product Prov $0 $16,796 $16,796
Lazard Funds Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Product Pro $0 $16,777 $16,777
T Rowe Price Funds Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Product Prov $0 $9,914 $9,914
Rudler, Psc Other fees Service Provider $0 $6,950 $6,950
Columbia Wanger Asset Management Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Product Provi $0 $6,891 $6,891
Davis Funds Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Product Pr $0 $5,936 $5,936
Dynamic Pension Services, Inc Recordkeeping and information management (computing, tabulating, data processing, etc.) TPA $3,588 $0 $3,588
Total $3,588 $182,773 $186,361

Indirect Compensation

Name Source of Indirect Compensation* Nature of Service Description of Indirect Compensation Indirect Compensation Paid by Plan
American Funds American Funds Amer Balanced Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $2,372
American Funds American Funds Europacific Gro Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $5,529
American Funds American Funds New Perspective Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $2,622
Ing Mutual Funds Ing Solution 2015 Portfolio Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $2,551
Ing Mutual Funds Ing Solution 2025 Portfolio Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $14,096
Ing Mutual Funds Ing Solution 2035 Portfolio Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees, Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $9,689
Ing Mutual Funds Ing Solution 2045 Portfolio Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $6,030
Ing Mutual Funds Ing T Rowe Price Equity Income Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $4,912
Ing Mutual Funds Ing Us Stock Index Portfolio Investment management, Distribution (12b-1) fees Investment Management 12B-1 Distribution Fees $3,418
Lazard Funds Lazard Emerging Markets Equity Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $16,777
T Rowe Price Funds T Rowe Price Mid-Cap Growth Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $9,914
Rudler, Psc Ing Life Insurance and Annuity Co Other fees Other Fees $6,950
Columbia Wanger Asset Management Columbia High Yield Bond Fund R3 Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $5,648
Columbia Wanger Asset Management Columbia Mid Cap Value Fund A Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $1,243
Ing Life Insurance and Annuity Co Ing Solution 2015 Portfolio Srv Sub-transfer agency fees Sub-Transfer/Reimbursement Fees $1,423
Ing Life Insurance and Annuity Co Troweprc Mid-Cap Growth Fund R Sub-transfer agency fees Sub-Transfer/Reimbursement Fees $1,136
Ing Mutual Funds Ing Amcen Sm-Md Cp Val Port Srv Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $1,235
American Funds American Funds Growth Fund of Amer Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $4,757
American Funds American Funds Washington Mutual Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $1,517
Davis Funds Davis New York Venture Fund Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $5,936
Ing Financial Advisers American Funds American Balanced Distribution (12b-1) fees 12B-1 Distribution Fees $1,247
Ing Financial Advisers American Funds Europacific Gro Distribution (12b-1) fees 12B-1 Distribution Fees $2,420
Ing Financial Advisers American Funds New Perspective Distribution (12b-1) fees 12B-1 Distribution Fees $1,168
Ing Financial Advisers American Funds Growth Fund of Amer Distribution (12b-1) fees 12B-1 Distribution Fees $2,447
Ing Financial Advisers Davis New York Venture Fund Distribution (12b-1) fees 12B-1 Distribution Fees $2,398
Ing Financial Advisers Ing Intermediate Bond Fund Distribution (12b-1) fees 12B-1 Distribution Fees $2,620
Ing Financial Advisers Lazard Emerging Markets Equity Distribution (12b-1) fees 12B-1 Distribution Fees $2,771
Ing Financial Advisers T Rowe Price Mid-Cap Growth Distribution (12b-1) fees 12B-1 Distribution Fees $3,787
Ing Financial Advisers Columbia High Yield Bond Fund Distribution (12b-1) fees 12B-1 Distribution Fees $1,163
Ing Life Insurance and Annuity Co Columbia High Yield Bond Fund R3 Sub-transfer agency fees Sub-Transfer/Reimbursement Fees $1,629
Ing Life Insurance and Annuity Co Ing Fixed Account Recordkeeping fees Record-Keeping Fees $8,721
Ing Life Insurance and Annuity Co Ing Life Insurance and Annuity Co Investment advisory (participants) Investment Advisory (Participant) $3,490
Ing Life Insurance and Annuity Co Ing Solution 2025 Portfolio Sub-transfer agency fees, Account maintenance fees Sub-Transfer/Reimbursement Fees Account Maintenance Fees $7,344
Ing Life Insuance and Annuity Co Ing Solution 2035 Portfolio Sub-transfer agency fees, Account maintenance fees Sub-Transfer/Reimbursement Fees Account Maintenance Fees $4,827
Ing Life Insurance and Annuity Co Ing Solution 2045 Portfolio Sub-transfer agency fees, Account maintenance fees Sub-Transfer/Reimbursement Fees Account Maintenance Fees $2,913
Ing Life Insurance and Annuity Co Ing T Rowe Price Equity Income Sub-transfer agency fees, Account maintenance fees Sub-Transfer/Reimbursement Fees Account Maintenance Fees $2,857
Ing Life Insurance and Annuity Co Ing Us Stock Index Portfolio Sub-transfer agency fees, Account maintenance fees Sub-Transfer/Reimbursement Fees Account Maintenance Fees $2,258
Ing Life Insurance and Annuity Co Lazard Emerging Markets Equity Sub-transfer agency fees Sub-Transfer/Reimbursement Fees $1,663
Ing Mutual Funds Ing Baron Small Cap Growth Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $1,758
Ing Mutual Funds Ing Black Rock Science and Tech Investment management, Investment management fees paid indirectly by plan Investment Management Investment Management Fees $1,758
Ing Mutual Funds Ing Intermediate Bond Fund Investment management, Investment management fees paid indirectly by plan, Distribution (12b-1) fees Investment Management Investment Management Fees 12B-1 Distribution Fees $4,963
*As outlined by the Form 5500 Instructions for service providers with indirect compensation.

Service Providers Who Fail or Refuse to Provide Information

There are no service providers who failed or refused to provide information.

Termination Information on Accountants and Enrolled Actuaries

There is no termination information for this plan.

Investments

Investments

Name of Investment Investment Manager Type of Investment Dollar Value
Map Contract Separate Account D Ing Life Insurance & Annuity Co. DFE: Pooled Separate Account $9,618,241
Total $9,618,241

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
Ing Life Insurance and Annuity Company 170
EIN 71-0294708
Industry Code 86509
Contract Number 877427
Contract Year 01/01/2011 — 12/31/2011
Value in General Account at Year End $1,772,238
Value in Separate Accounts at Year End $9,618,242
Insurance Fees and Commissions $30,371
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Lpl Financial Corporation Attn Comm Dept Lpl Fin Svcs San Diego, CA 92150 Insurance Agent or Broker $23,571 $0
Dynamic Pension Services, Inc. 2176 Hewitt Ave Ste A Kettering, OH 45440 Third Party Administrator $0 $6,800 SERVICE REIMBURSEMENT
Allocated Funds
Type of Contract Unspecified
Basis of premium rates
Premiums paid to carrier $0
Premiums due but unpaid at the end of the year $0
If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, enter amount $0
Specify the nature of the costs
Unallocated Funds
Type of Contract GROUP PENSION FUNDING
Balance at the end of the previous year $1,889,679
Additions $206,022
Contributions Deposited during the year $39,298
Dividends and credits $0
Interest credited during the year $53,138
Transferred from separate account $109,230
Other $4,356
Total of Balance and Additions $2,095,701
Deductions $323,463
Disbursed from fund to pay benefits or purchase annuities during the year $317,325
Administration charge made by carrier $319
Transferred to Separate Account $0
Other $5,819
Balance at the end of the current year $1,772,238