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FIRST TRUST CORPORATION 401(K) PLAN 401k Plan overview

Plan NameFIRST TRUST CORPORATION 401(K) PLAN
Plan identification number 001

FIRST TRUST CORPORATION 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Profit-sharing
  • ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
  • Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
  • Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
  • Participant-directed brokerage accounts provided as an investment option under the plan.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

FIRST TRUST CORPORATION has sponsored the creation of one or more 401k plans.

Company Name:FIRST TRUST CORPORATION
Employer identification number (EIN):721256767
NAIC Classification:522110
NAIC Description:Commercial Banking

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FIRST TRUST CORPORATION 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012021-01-01KAY MOULDER2022-09-20
0012020-01-01KAY MOULDER2021-09-17
0012019-01-01KAY MOULDER2020-09-08
0012018-01-01KAY MOULDER2019-09-24
0012017-01-01
0012016-01-01
0012015-01-01MELISSA TERITO
0012014-01-01MELISSA TERITO
0012013-01-01GERALD BROUSSARD GERALD BROUSSARD2014-10-14
0012012-01-01GERALD BROUSSARD GERALD BROUSSARD2013-10-10
0012011-01-01GERALD BROUSSARD GERALD BROUSSARD2012-09-24
0012009-01-01GERALD BROUSSARD GERALD BROUSSARD2010-10-13

Plan Statistics for FIRST TRUST CORPORATION 401(K) PLAN

401k plan membership statisitcs for FIRST TRUST CORPORATION 401(K) PLAN

Measure Date Value
2021: FIRST TRUST CORPORATION 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01235
Total number of active participants reported on line 7a of the Form 55002021-01-01215
Number of retired or separated participants receiving benefits2021-01-017
Number of other retired or separated participants entitled to future benefits2021-01-0118
Total of all active and inactive participants2021-01-01240
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01240
Number of participants with account balances2021-01-01217
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-0111
2020: FIRST TRUST CORPORATION 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01228
Total number of active participants reported on line 7a of the Form 55002020-01-01204
Number of retired or separated participants receiving benefits2020-01-017
Number of other retired or separated participants entitled to future benefits2020-01-0121
Total of all active and inactive participants2020-01-01232
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01232
Number of participants with account balances2020-01-01208
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0112
2019: FIRST TRUST CORPORATION 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01230
Total number of active participants reported on line 7a of the Form 55002019-01-01193
Number of retired or separated participants receiving benefits2019-01-0111
Number of other retired or separated participants entitled to future benefits2019-01-0121
Total of all active and inactive participants2019-01-01225
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01225
Number of participants with account balances2019-01-01197
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0114
2018: FIRST TRUST CORPORATION 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01283
Total number of active participants reported on line 7a of the Form 55002018-01-01197
Number of retired or separated participants receiving benefits2018-01-0111
Number of other retired or separated participants entitled to future benefits2018-01-0121
Total of all active and inactive participants2018-01-01229
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01229
Number of participants with account balances2018-01-01193
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0141
2017: FIRST TRUST CORPORATION 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01297
Total number of active participants reported on line 7a of the Form 55002017-01-01246
Number of retired or separated participants receiving benefits2017-01-0114
Number of other retired or separated participants entitled to future benefits2017-01-0121
Total of all active and inactive participants2017-01-01281
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01281
Number of participants with account balances2017-01-01234
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0128
2016: FIRST TRUST CORPORATION 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01293
Total number of active participants reported on line 7a of the Form 55002016-01-01258
Number of retired or separated participants receiving benefits2016-01-0117
Number of other retired or separated participants entitled to future benefits2016-01-0121
Total of all active and inactive participants2016-01-01296
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01296
Number of participants with account balances2016-01-01237
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-0121
2015: FIRST TRUST CORPORATION 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01388
Total number of active participants reported on line 7a of the Form 55002015-01-01243
Number of retired or separated participants receiving benefits2015-01-0114
Number of other retired or separated participants entitled to future benefits2015-01-0131
Total of all active and inactive participants2015-01-01288
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01288
Number of participants with account balances2015-01-01238
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0134
2014: FIRST TRUST CORPORATION 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01380
Total number of active participants reported on line 7a of the Form 55002014-01-01300
Number of retired or separated participants receiving benefits2014-01-0172
Total of all active and inactive participants2014-01-01372
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01372
Number of participants with account balances2014-01-01317
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0143
2013: FIRST TRUST CORPORATION 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01374
Total number of active participants reported on line 7a of the Form 55002013-01-01318
Number of retired or separated participants receiving benefits2013-01-0135
Number of other retired or separated participants entitled to future benefits2013-01-0121
Total of all active and inactive participants2013-01-01374
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01374
Number of participants with account balances2013-01-01320
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0136
2012: FIRST TRUST CORPORATION 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01379
Total number of active participants reported on line 7a of the Form 55002012-01-01292
Number of retired or separated participants receiving benefits2012-01-013
Number of other retired or separated participants entitled to future benefits2012-01-0171
Total of all active and inactive participants2012-01-01366
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-011
Total participants2012-01-01367
Number of participants with account balances2012-01-01307
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0149
2011: FIRST TRUST CORPORATION 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01397
Total number of active participants reported on line 7a of the Form 55002011-01-01309
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0166
Total of all active and inactive participants2011-01-01375
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-011
Total participants2011-01-01376
Number of participants with account balances2011-01-01312
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0146
2009: FIRST TRUST CORPORATION 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01409
Total number of active participants reported on line 7a of the Form 55002009-01-01341
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01139
Total of all active and inactive participants2009-01-01480
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01480
Number of participants with account balances2009-01-01315
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0190

Financial Data on FIRST TRUST CORPORATION 401(K) PLAN

Measure Date Value
2021 : FIRST TRUST CORPORATION 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$3,653,937
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$1,251,746
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$1,155,451
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$1,722,991
Value of total assets at end of year2021-12-31$17,069,237
Value of total assets at beginning of year2021-12-31$14,667,046
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$96,295
Total interest from all sources2021-12-31$19,579
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$1,109,980
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$1,109,980
Administrative expenses professional fees incurred2021-12-31$12,750
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$1,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$1,185,806
Participant contributions at end of year2021-12-31$333,977
Participant contributions at beginning of year2021-12-31$287,876
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$113,561
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$2,402,191
Value of net assets at end of year (total assets less liabilities)2021-12-31$17,069,237
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$14,667,046
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$15,907,923
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$13,549,561
Interest on participant loans2021-12-31$19,563
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2021-12-31$16
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$827,337
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$829,609
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$801,387
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$423,624
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$1,155,451
Contract administrator fees2021-12-31$83,545
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 name2021-12-31POSTLETHWAITE & NETTERVILLE
Accountancy firm EIN2021-12-31721202445
2020 : FIRST TRUST CORPORATION 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$3,483,918
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$747,956
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$668,719
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$1,534,910
Value of total assets at end of year2020-12-31$14,667,046
Value of total assets at beginning of year2020-12-31$11,931,084
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$79,237
Total interest from all sources2020-12-31$20,841
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$400,303
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$400,303
Administrative expenses professional fees incurred2020-12-31$12,750
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$1,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$1,103,248
Participant contributions at end of year2020-12-31$287,876
Participant contributions at beginning of year2020-12-31$315,065
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$36,090
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$2,735,962
Value of net assets at end of year (total assets less liabilities)2020-12-31$14,667,046
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$11,931,084
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$58,476
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$13,549,561
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$11,218,699
Interest on participant loans2020-12-31$20,579
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2020-12-31$262
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$829,609
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$397,320
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$1,527,864
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$395,572
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$668,719
Contract administrator fees2020-12-31$8,011
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 plan2020-12-31Disclaimer
Accountancy firm name2020-12-31POSTLETHWAITE & NETTERVILLE
Accountancy firm EIN2020-12-31721202445
2019 : FIRST TRUST CORPORATION 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$3,401,491
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$1,723,742
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$1,659,517
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$1,300,392
Value of total assets at end of year2019-12-31$11,931,084
Value of total assets at beginning of year2019-12-31$10,253,335
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$64,225
Total interest from all sources2019-12-31$24,488
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$580,430
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$580,430
Administrative expenses professional fees incurred2019-12-31$12,375
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$1,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$920,602
Participant contributions at end of year2019-12-31$315,065
Participant contributions at beginning of year2019-12-31$342,445
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$39,370
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$1,677,749
Value of net assets at end of year (total assets less liabilities)2019-12-31$11,931,084
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$10,253,335
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 leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$11,218,699
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$9,254,638
Interest on participant loans2019-12-31$22,879
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-12-31$1,609
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$397,320
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$656,252
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$1,496,181
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
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$340,420
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$1,659,517
Contract administrator fees2019-12-31$51,850
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
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)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31POSTLETHWAITE & NETTERVILLE
Accountancy firm EIN2019-12-31721202445
2018 : FIRST TRUST CORPORATION 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$802,952
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$2,504,023
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$2,439,296
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$1,388,498
Value of total assets at end of year2018-12-31$10,253,335
Value of total assets at beginning of year2018-12-31$11,954,406
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$64,727
Total interest from all sources2018-12-31$23,695
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$599,185
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$599,185
Administrative expenses professional fees incurred2018-12-31$12,375
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$1,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$900,567
Participant contributions at end of year2018-12-31$342,445
Participant contributions at beginning of year2018-12-31$398,543
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$158,156
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-1,701,071
Value of net assets at end of year (total assets less liabilities)2018-12-31$10,253,335
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$11,954,406
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$32,640
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$9,254,638
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$10,984,685
Interest on participant loans2018-12-31$22,507
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2018-12-31$1,188
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$656,252
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$571,178
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-1,208,426
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$329,775
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$2,439,296
Contract administrator fees2018-12-31$19,712
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)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31POSTLETHWAITE & NETTERVILLE
Accountancy firm EIN2018-12-31721202445
2017 : FIRST TRUST CORPORATION 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$3,387,313
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$1,924,703
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$1,852,887
Expenses. Certain deemed distributions of participant loans2017-12-31$11,147
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$1,709,221
Value of total assets at end of year2017-12-31$11,954,406
Value of total assets at beginning of year2017-12-31$10,491,796
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$60,669
Total interest from all sources2017-12-31$26,855
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$566,620
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$566,620
Administrative expenses professional fees incurred2017-12-31$12,750
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$1,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$1,055,902
Participant contributions at end of year2017-12-31$398,543
Participant contributions at beginning of year2017-12-31$417,021
Participant contributions at end of year2017-12-31$0
Participant contributions at beginning of year2017-12-31$46
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$259,738
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$1,462,610
Value of net assets at end of year (total assets less liabilities)2017-12-31$11,954,406
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$10,491,796
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$39,894
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$10,984,685
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$9,409,390
Interest on participant loans2017-12-31$26,637
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$218
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$571,178
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$665,316
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$1,084,617
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$393,581
Employer contributions (assets) at end of year2017-12-31$0
Employer contributions (assets) at beginning of year2017-12-31$23
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$1,852,887
Contract administrator fees2017-12-31$8,025
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 name2017-12-31POSTLETHWAITE & NETTERVILLE
Accountancy firm EIN2017-12-31721202445
2016 : FIRST TRUST CORPORATION 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$2,185,210
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$1,356,799
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$1,282,163
Expenses. Certain deemed distributions of participant loans2016-12-31$21,141
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$1,377,299
Value of total assets at end of year2016-12-31$10,491,796
Value of total assets at beginning of year2016-12-31$9,663,385
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$53,495
Total interest from all sources2016-12-31$19,673
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$340,484
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$340,484
Administrative expenses professional fees incurred2016-12-31$12,500
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$1,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$992,574
Participant contributions at end of year2016-12-31$417,021
Participant contributions at beginning of year2016-12-31$325,799
Participant contributions at end of year2016-12-31$46
Participant contributions at beginning of year2016-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$28,306
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$828,411
Value of net assets at end of year (total assets less liabilities)2016-12-31$10,491,796
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$9,663,385
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$31,116
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$9,409,390
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$8,684,153
Interest on participant loans2016-12-31$19,568
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-12-31$105
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$665,316
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$653,433
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$447,754
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$356,419
Employer contributions (assets) at end of year2016-12-31$23
Employer contributions (assets) at beginning of year2016-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$1,282,163
Contract administrator fees2016-12-31$9,879
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 name2016-12-31POSTLETHWAITE & NETTERVILLE
Accountancy firm EIN2016-12-31721202445
2015 : FIRST TRUST CORPORATION 401(K) PLAN 2015 401k financial data
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$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$1,388,779
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$3,745,922
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$3,683,344
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$1,562,807
Value of total assets at end of year2015-12-31$9,663,385
Value of total assets at beginning of year2015-12-31$12,020,528
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$62,578
Total interest from all sources2015-12-31$18,247
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$432,533
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$432,533
Administrative expenses professional fees incurred2015-12-31$12,500
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$1,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$1,118,762
Participant contributions at end of year2015-12-31$325,799
Participant contributions at beginning of year2015-12-31$437,042
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$41,550
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-2,357,143
Value of net assets at end of year (total assets less liabilities)2015-12-31$9,663,385
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$12,020,528
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$13,614
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$8,684,153
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$11,397,061
Interest on participant loans2015-12-31$18,247
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$653,433
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$186,425
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-624,808
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$402,495
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$3,683,344
Contract administrator fees2015-12-31$36,464
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
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 name2015-12-31POSTLETHWAITE & NETTERVILLE
Accountancy firm EIN2015-12-31721202445
2014 : FIRST TRUST CORPORATION 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$53
Total income from all sources (including contributions)2014-12-31$2,764,069
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$934,562
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$860,651
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$2,242,113
Value of total assets at end of year2014-12-31$12,020,528
Value of total assets at beginning of year2014-12-31$10,191,074
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$73,911
Total interest from all sources2014-12-31$19,694
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$569,950
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$569,950
Administrative expenses professional fees incurred2014-12-31$12,500
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$1,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$1,236,993
Participant contributions at end of year2014-12-31$437,042
Participant contributions at beginning of year2014-12-31$263,697
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$607,063
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$53
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$1,829,507
Value of net assets at end of year (total assets less liabilities)2014-12-31$12,020,528
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$10,191,021
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$42,800
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$11,397,061
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$9,358,601
Interest on participant loans2014-12-31$17,953
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$1,741
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$186,425
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$568,776
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$-67,688
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$398,057
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$860,651
Contract administrator fees2014-12-31$18,611
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
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 name2014-12-31POSTLETHWAITE & NETTERVILLE
Accountancy firm EIN2014-12-31721202445
2013 : FIRST TRUST CORPORATION 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$53
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$3,088,358
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$2,176,820
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$2,127,519
Value of total corrective distributions2013-12-31$5,721
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,606,158
Value of total assets at end of year2013-12-31$10,191,074
Value of total assets at beginning of year2013-12-31$9,279,483
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$43,580
Total interest from all sources2013-12-31$12,149
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$616,296
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$616,296
Administrative expenses professional fees incurred2013-12-31$11,500
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$1,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$1,114,163
Participant contributions at end of year2013-12-31$263,697
Participant contributions at beginning of year2013-12-31$246,298
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$70,618
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$53
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$911,538
Value of net assets at end of year (total assets less liabilities)2013-12-31$10,191,021
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$9,279,483
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$9,358,601
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$8,093,845
Interest on participant loans2013-12-31$12,149
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$568,776
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$939,340
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$853,755
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$421,377
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$2,127,519
Contract administrator fees2013-12-31$32,080
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
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 name2013-12-31POSTLETHWAITE & NETTERVILLE
Accountancy firm EIN2013-12-31721202445
2012 : FIRST TRUST CORPORATION 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$2,504,049
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$1,571,686
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,556,460
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,583,821
Value of total assets at end of year2012-12-31$9,279,483
Value of total assets at beginning of year2012-12-31$8,347,120
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$15,226
Total interest from all sources2012-12-31$14,621
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$143,158
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$143,158
Administrative expenses professional fees incurred2012-12-31$12,500
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$1,000,000
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
Contributions received from participants2012-12-31$999,348
Participant contributions at end of year2012-12-31$246,298
Participant contributions at beginning of year2012-12-31$290,142
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$244,866
Other income not declared elsewhere2012-12-31$-287
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$932,363
Value of net assets at end of year (total assets less liabilities)2012-12-31$9,279,483
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$8,347,120
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
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$8,093,845
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$7,003,234
Interest on participant loans2012-12-31$14,621
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$939,340
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$1,053,744
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$762,736
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$339,607
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,556,460
Contract administrator fees2012-12-31$2,726
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
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 name2012-12-31POSTLETHWAITE & NETTERVILLE
Accountancy firm EIN2012-12-31721202445
2011 : FIRST TRUST CORPORATION 401(K) PLAN 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets2011-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2011-12-31$0
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total transfer of assets to this plan2011-12-31$0
Total transfer of assets from this plan2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$1,005,691
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$1,320,482
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,310,517
Expenses. Certain deemed distributions of participant loans2011-12-31$0
Value of total corrective distributions2011-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,156,416
Value of total assets at end of year2011-12-31$8,347,120
Value of total assets at beginning of year2011-12-31$8,661,911
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$9,965
Total income from rents2011-12-31$0
Total interest from all sources2011-12-31$42,330
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$99,304
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$99,304
Administrative expenses professional fees incurred2011-12-31$6,000
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$10,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Amount of non-exempt transactions with any party-in-interest2011-12-31$0
Contributions received from participants2011-12-31$859,519
Participant contributions at end of year2011-12-31$290,142
Participant contributions at beginning of year2011-12-31$273,242
Participant contributions at end of year2011-12-31$0
Participant contributions at beginning of year2011-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$110,856
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2011-12-31$68
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$0
Other income not declared elsewhere2011-12-31$0
Administrative expenses (other) incurred2011-12-31$1
Liabilities. Value of operating payables at beginning of year2011-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-314,791
Value of net assets at end of year (total assets less liabilities)2011-12-31$8,347,120
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$8,661,911
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2011-12-31$0
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2011-12-31$0
Investment advisory and management fees2011-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$7,003,234
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$7,299,978
Interest on participant loans2011-12-31$14,525
Income. Interest from loans (other than to participants)2011-12-31$0
Interest earned on other investments2011-12-31$27,805
Income. Interest from US Government securities2011-12-31$0
Income. Interest from corporate debt instruments2011-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$1,053,744
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$1,088,691
Expenses. Payments to insurance carriers foe the provision of benefits2011-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-292,359
Net investment gain/loss from pooled separate accounts2011-12-31$0
Net investment gain or loss from common/collective trusts2011-12-31$0
Net gain/loss from 103.12 investment entities2011-12-31$0
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$186,041
Employer contributions (assets) at end of year2011-12-31$0
Employer contributions (assets) at beginning of year2011-12-31$0
Income. Dividends from preferred stock2011-12-31$0
Income. Dividends from common stock2011-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,310,449
Contract administrator fees2011-12-31$3,964
Liabilities. Value of benefit claims payable at beginning of year2011-12-31$0
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$0
Aggregate carrying amount (costs) on sale of assets2011-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2011-12-31$0
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 name2011-12-31POSTLETHWAITE & NETTERVILLE
Accountancy firm EIN2011-12-31721202445
2010 : FIRST TRUST CORPORATION 401(K) PLAN 2010 401k financial data
Unrealized appreciation/depreciation of real estate assets2010-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2010-12-31$0
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total transfer of assets to this plan2010-12-31$0
Total transfer of assets from this plan2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$2,461,943
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$1,618,371
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$1,595,454
Expenses. Certain deemed distributions of participant loans2010-12-31$0
Value of total corrective distributions2010-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,533,187
Value of total assets at end of year2010-12-31$8,661,911
Value of total assets at beginning of year2010-12-31$7,818,339
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$22,917
Total income from rents2010-12-31$0
Total interest from all sources2010-12-31$51,168
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$83,488
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$83,488
Administrative expenses professional fees incurred2010-12-31$12,000
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$10,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Amount of non-exempt transactions with any party-in-interest2010-12-31$0
Contributions received from participants2010-12-31$998,049
Participant contributions at end of year2010-12-31$273,242
Participant contributions at beginning of year2010-12-31$291,112
Participant contributions at end of year2010-12-31$0
Participant contributions at beginning of year2010-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$163,529
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2010-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2010-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2010-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$0
Other income not declared elsewhere2010-12-31$190
Administrative expenses (other) incurred2010-12-31$1
Liabilities. Value of operating payables at beginning of year2010-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$843,572
Value of net assets at end of year (total assets less liabilities)2010-12-31$8,661,911
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$7,818,339
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2010-12-31$0
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2010-12-31$0
Investment advisory and management fees2010-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$7,299,978
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$6,293,384
Interest on participant loans2010-12-31$17,006
Income. Interest from loans (other than to participants)2010-12-31$0
Interest earned on other investments2010-12-31$34,162
Income. Interest from US Government securities2010-12-31$0
Income. Interest from corporate debt instruments2010-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$1,088,691
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$1,233,843
Expenses. Payments to insurance carriers foe the provision of benefits2010-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$793,910
Net investment gain/loss from pooled separate accounts2010-12-31$0
Net investment gain or loss from common/collective trusts2010-12-31$0
Net gain/loss from 103.12 investment entities2010-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$371,609
Employer contributions (assets) at end of year2010-12-31$0
Employer contributions (assets) at beginning of year2010-12-31$0
Income. Dividends from preferred stock2010-12-31$0
Income. Dividends from common stock2010-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$1,595,454
Contract administrator fees2010-12-31$10,916
Liabilities. Value of benefit claims payable at beginning of year2010-12-31$0
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$0
Aggregate carrying amount (costs) on sale of assets2010-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2010-12-31$0
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 name2010-12-31POSTLETHWAITE & NETTERVILLE
Accountancy firm EIN2010-12-31721202445

Form 5500 Responses for FIRST TRUST CORPORATION 401(K) PLAN

2021: FIRST TRUST CORPORATION 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: FIRST TRUST CORPORATION 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: FIRST TRUST CORPORATION 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: FIRST TRUST CORPORATION 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: FIRST TRUST CORPORATION 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: FIRST TRUST CORPORATION 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: FIRST TRUST CORPORATION 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: FIRST TRUST CORPORATION 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: FIRST TRUST CORPORATION 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: FIRST TRUST CORPORATION 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes
2011: FIRST TRUST CORPORATION 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
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: FIRST TRUST CORPORATION 401(K) PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
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

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number319-71616
Policy instance 1
Insurance contract or identification number319-71616
Number of Individuals Covered10
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number319-71616
Policy instance 1
Insurance contract or identification number319-71616
Number of Individuals Covered10
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number319-71616
Policy instance 1
Insurance contract or identification number319-71616
Number of Individuals Covered11
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $641
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $641
Insurance broker organization code?4
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number319-71616
Policy instance 1
Insurance contract or identification number319-71616
Number of Individuals Covered11
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $802
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $802
Insurance broker organization code?4
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number319-71616
Policy instance 1
Insurance contract or identification number319-71616
Number of Individuals Covered8
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Are there contracts with allocated funds for individual policies?0
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number319-71616
Policy instance 1
Insurance contract or identification number319-71616
Number of Individuals Covered238
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number441462
Policy instance 1
Insurance contract or identification number441462
Number of Individuals Covered0
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number319-71616
Policy instance 2
Insurance contract or identification number319-71616
Number of Individuals Covered6
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract number319-71616
Policy instance 2
Insurance contract or identification number319-71616
Number of Individuals Covered320
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number441462
Policy instance 1
Insurance contract or identification number441462
Number of Individuals Covered359
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $1,182
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
Commission paid to Insurance BrokerUSD $0
Amount paid for insurance broker fees1182
Additional information about fees paid to insurance brokerREFERRAL / SERVICE FEE
Insurance broker organization code?3
Insurance broker nameSENTINEL PENSION, LLC
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number441462
Policy instance 1
Insurance contract or identification number441462
Number of Individuals Covered371
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 $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number441462
Policy instance 1
Insurance contract or identification number441462
Number of Individuals Covered376
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number441462
Policy instance 1
Insurance contract or identification number441462
Number of Individuals Covered411
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

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