401k Plan data: FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN plan

FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	004

FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Stock bonus
ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.
Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

401k Sponsoring company profile

FEDERAL NATIONAL MORTGAGE ASSOCIATION has sponsored the creation of one or more 401k plans.

Company Name: FEDERAL NATIONAL MORTGAGE ASSOCIATION

Employer identification number (EIN): 520883107

NAIC Classification: 522294
NAIC Description: Secondary Market Financing

Additional information about FEDERAL NATIONAL MORTGAGE ASSOCIATION

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3560366

More information about FEDERAL NATIONAL MORTGAGE ASSOCIATION

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2012-01-01 GREGORY FINK BRIAN MCQUAID 2013-09-06
004 2011-01-01 GREGORY FINK BRIAN MCQUAID 2012-09-07
004 2009-01-01 DAVID HISEY CHRISTINE WOLF 2010-09-15

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
004	2012-01-01	GREGORY FINK	BRIAN MCQUAID	2013-09-06
004	2011-01-01	GREGORY FINK	BRIAN MCQUAID	2012-09-07
004	2009-01-01	DAVID HISEY	CHRISTINE WOLF	2010-09-15

Plan Statistics for FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2012: FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 4,171
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 0
Number of participants with account balances 2012-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 8,186
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 3,264
Number of retired or separated participants receiving benefits 2011-01-01 189
Number of other retired or separated participants entitled to future benefits 2011-01-01 707
Total of all active and inactive participants 2011-01-01 4,160
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 11
Total participants 2011-01-01 4,171
Number of participants with account balances 2011-01-01 4,126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2009: FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 5,825
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 4,385
Number of retired or separated participants receiving benefits 2009-01-01 73
Number of other retired or separated participants entitled to future benefits 2009-01-01 251
Total of all active and inactive participants 2009-01-01 4,709
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 38
Total participants 2009-01-01 4,747
Number of participants with account balances 2009-01-01 4,651
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	4,171
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	0
Number of participants with account balances	2012-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	8,186
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	3,264
Number of retired or separated participants receiving benefits	2011-01-01	189
Number of other retired or separated participants entitled to future benefits	2011-01-01	707
Total of all active and inactive participants	2011-01-01	4,160
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	11
Total participants	2011-01-01	4,171
Number of participants with account balances	2011-01-01	4,126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2009: FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	5,825
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	4,385
Number of retired or separated participants receiving benefits	2009-01-01	73
Number of other retired or separated participants entitled to future benefits	2009-01-01	251
Total of all active and inactive participants	2009-01-01	4,709
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	38
Total participants	2009-01-01	4,747
Number of participants with account balances	2009-01-01	4,651
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2012 : FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-10	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-10	$0
Total income from all sources (including contributions)	2012-12-10	$77,649
Total of all expenses incurred	2012-12-10	$1,916,076
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-10	$1,915,721
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-10	$77,491
Value of total assets at end of year	2012-12-10	$0
Value of total assets at beginning of year	2012-12-10	$1,838,427
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-10	$355
Total interest from all sources	2012-12-10	$158
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-10	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-12-10	$0
Was this plan covered by a fidelity bond	2012-12-10	Yes
Value of fidelity bond cover	2012-12-10	$160,000,000
If this is an individual account plan, was there a blackout period	2012-12-10	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-10	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-10	No
Administrative expenses (other) incurred	2012-12-10	$355
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-10	No
Value of net income/loss	2012-12-10	$-1,838,427
Value of net assets at end of year (total assets less liabilities)	2012-12-10	$0
Value of net assets at beginning of year (total assets less liabilities)	2012-12-10	$1,838,427
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-10	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-10	No
Were any leases to which the plan was party in default or uncollectible	2012-12-10	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-10	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-10	$1,838,427
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-10	$1,838,427
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-10	$158
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-10	Yes
Was there a failure to transmit to the plan any participant contributions	2012-12-10	No
Has the plan failed to provide any benefit when due under the plan	2012-12-10	No
Contributions received in cash from employer	2012-12-10	$77,491
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-10	$1,915,721
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-10	No
Did the plan have assets held for investment	2012-12-10	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-10	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-10	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-10	No
Opinion of an independent qualified public accountant for this plan	2012-12-10	Unqualified
Accountancy firm name	2012-12-10	COHNREZNICK LLP
Accountancy firm EIN	2012-12-10	221478099
2011 : FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$378
Total of all expenses incurred	2011-12-31	$2,562,192
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,562,192
Value of total assets at end of year	2011-12-31	$1,838,427
Value of total assets at beginning of year	2011-12-31	$4,400,241
Total interest from all sources	2011-12-31	$378
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2011-12-31	$0
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$160,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-2,561,814
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$1,838,427
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$4,400,241
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$1,838,427
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$4,400,241
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$4,400,241
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$378
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,562,192
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	No
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	REZNICK GROUP
Accountancy firm EIN	2011-12-31	521088612
2010 : FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Total transfer of assets from this plan	2010-12-31	$6,762
Total income from all sources (including contributions)	2010-12-31	$3,383,605
Total loss/gain on sale of assets	2010-12-31	$-987,495
Total of all expenses incurred	2010-12-31	$442,206
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$442,206
Value of total assets at end of year	2010-12-31	$4,400,241
Value of total assets at beginning of year	2010-12-31	$1,465,604
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total interest from all sources	2010-12-31	$4,371,100
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2010-12-31	$0
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$160,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Administrative expenses (other) incurred	2010-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$2,941,399
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$4,400,241
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$1,465,604
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$4,400,241
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$15,620
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$15,620
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$4,371,100
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$0
Assets. Invements in employer securities at beginning of year	2010-12-31	$1,449,984
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$442,206
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$474,880
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$1,462,375
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	REZNICK GROUP
Accountancy firm EIN	2010-12-31	521088612
2009 : FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN

2012: FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	Yes
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: FEDERAL NATIONAL MORTGAGE ASSOCIATION EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	FEDERAL NATIONAL MORTGAGE ASSOCIATION
Employer identification number (EIN):	520883107
NAIC Classification:	522294
NAIC Description:	Secondary Market Financing

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3560366