401k Plan data: FS-ISAC 401(K) PLAN plan

FS-ISAC 401(K) PLAN 401k Plan overview

Plan Name	FS-ISAC 401(K) PLAN
Plan identification number	002

FS-ISAC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
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

FS-ISAC, INC has sponsored the creation of one or more 401k plans.

Company Name: FS-ISAC, INC

Employer identification number (EIN): 522204208

NAIC Classification: 813000
NAIC Description: Religious, Grantmaking, Civic, Professional, and Similar Organizations

Additional information about FS-ISAC, INC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date: 1999-08-13

Company Identification Number: 3083067

Legal Registered Office Address: 2711 Centerville Rd
Suite 400
Wilmington
United States of America (USA)
19808

More information about FS-ISAC, INC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FS-ISAC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2021-01-01 DANIELLE METZLER 2022-02-25 DANIELLE METZLER 2022-02-25
002 2020-01-01
002 2019-01-01
002 2019-01-01
002 2018-01-01 AMY BOERNER 2019-07-12 AMY BOERNER 2019-07-12
002 2018-01-01 DANIELLE METZLER 2019-10-03 DANIELLE METZLER 2019-10-03
002 2017-01-01 LAURA FLEMMINGS 2018-07-11 LAURA FLEMMINGS 2018-07-11
002 2016-01-01 LAURA FLEMMINGS 2017-07-14 LAURA FLEMMINGS 2017-07-14
002 2015-01-01 LAURA FLEMMINGS 2016-07-08 LAURA FLEMMINGS 2016-07-08
002 2014-01-01 LAURA FLEMMINGS 2015-04-29 LAURA FLEMMINGS 2015-04-29
002 2013-01-01 LAURA FLEMMINGS 2014-02-20 LAURA FLEMMINGS 2014-02-20
002 2012-01-01 LAURA FLEMMINGS 2013-05-03 LAURA FLEMMINGS 2013-05-03
002 2011-01-01 LAURA FLEMMINGS 2012-07-09 LAURA FLEMMINGS 2012-07-09
002 2010-01-01 LAURA FLEMMINGS 2011-03-08 LAURA FLEMMINGS 2011-03-08

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2021-01-01	DANIELLE METZLER	2022-02-25	DANIELLE METZLER	2022-02-25
002	2020-01-01
002	2019-01-01
002	2019-01-01
002	2018-01-01	AMY BOERNER	2019-07-12	AMY BOERNER	2019-07-12
002	2018-01-01	DANIELLE METZLER	2019-10-03	DANIELLE METZLER	2019-10-03
002	2017-01-01	LAURA FLEMMINGS	2018-07-11	LAURA FLEMMINGS	2018-07-11
002	2016-01-01	LAURA FLEMMINGS	2017-07-14	LAURA FLEMMINGS	2017-07-14
002	2015-01-01	LAURA FLEMMINGS	2016-07-08	LAURA FLEMMINGS	2016-07-08
002	2014-01-01	LAURA FLEMMINGS	2015-04-29	LAURA FLEMMINGS	2015-04-29
002	2013-01-01	LAURA FLEMMINGS	2014-02-20	LAURA FLEMMINGS	2014-02-20
002	2012-01-01	LAURA FLEMMINGS	2013-05-03	LAURA FLEMMINGS	2013-05-03
002	2011-01-01	LAURA FLEMMINGS	2012-07-09	LAURA FLEMMINGS	2012-07-09
002	2010-01-01	LAURA FLEMMINGS	2011-03-08	LAURA FLEMMINGS	2011-03-08

Plan Statistics for FS-ISAC 401(K) PLAN

401k plan membership statisitcs for FS-ISAC 401(K) PLAN

Measure Date Value
2020: FS-ISAC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 106
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 71
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 22
Total of all active and inactive participants 2020-01-01 93
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 93
Number of participants with account balances 2020-01-01 93
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: FS-ISAC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 124
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 86
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 20
Total of all active and inactive participants 2019-01-01 106
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 106
Number of participants with account balances 2019-01-01 100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 6

Measure	Date	Value
2020: FS-ISAC 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	106
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	71
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	22
Total of all active and inactive participants	2020-01-01	93
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	93
Number of participants with account balances	2020-01-01	93
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: FS-ISAC 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	124
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	86
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	20
Total of all active and inactive participants	2019-01-01	106
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	106
Number of participants with account balances	2019-01-01	100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	6

Financial Data on FS-ISAC 401(K) PLAN

Measure	Date	Value
2020 : FS-ISAC 401(K) PLAN 2020 401k financial data
Total transfer of assets from this plan	2020-12-31	$41,379
Total income from all sources (including contributions)	2020-12-31	$2,646,754
Total of all expenses incurred	2020-12-31	$1,808,160
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$1,757,777
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,344,105
Value of total assets at end of year	2020-12-31	$8,744,828
Value of total assets at beginning of year	2020-12-31	$7,947,613
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$50,383
Total interest from all sources	2020-12-31	$3,603
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$706,481
Participant contributions at end of year	2020-12-31	$40,068
Participant contributions at beginning of year	2020-12-31	$71,343
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$126,897
Other income not declared elsewhere	2020-12-31	$710
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$838,594
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$8,744,828
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$7,947,613
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$1,415,706
Value of interest in pooled separate accounts at end of year	2020-12-31	$215,826
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$7,815,561
Interest earned on other investments	2020-12-31	$3,603
Value of interest in common/collective trusts at end of year	2020-12-31	$7,065,131
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$8,097
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$60,709
Net investment gain/loss from pooled separate accounts	2020-12-31	$1,298,336
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$510,727
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$1,757,777
Contract administrator fees	2020-12-31	$50,383
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	GRF CPAS & ADVISORS
Accountancy firm EIN	2020-12-31	521392008
2019 : FS-ISAC 401(K) PLAN 2019 401k financial data
Total transfer of assets from this plan	2019-12-31	$1,056,320
Total income from all sources (including contributions)	2019-12-31	$3,296,430
Total of all expenses incurred	2019-12-31	$1,418,963
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$1,415,609
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,776,790
Value of total assets at end of year	2019-12-31	$7,947,613
Value of total assets at beginning of year	2019-12-31	$7,126,466
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$3,354
Total interest from all sources	2019-12-31	$4,841
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
If this is an individual account plan, was there a blackout period	2019-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$824,230
Participant contributions at end of year	2019-12-31	$71,343
Participant contributions at beginning of year	2019-12-31	$85,219
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$90,390
Other income not declared elsewhere	2019-12-31	$71
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$1,877,467
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$7,947,613
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$7,126,466
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in pooled separate accounts at end of year	2019-12-31	$7,815,561
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$7,010,051
Interest earned on other investments	2019-12-31	$4,841
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$60,709
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$31,196
Net investment gain/loss from pooled separate accounts	2019-12-31	$1,514,728
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$862,170
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$1,415,609
Contract administrator fees	2019-12-31	$3,354
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2019-12-31	Yes
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	GELMAN ROSENBERG & FREEDMAN
Accountancy firm EIN	2019-12-31	521392008

Form 5500 Responses for FS-ISAC 401(K) PLAN

2020: FS-ISAC 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: FS-ISAC 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

717264

Policy instance

Insurance contract or identification number	717264
Number of Individuals Covered	93
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $10,495
Total amount of fees paid to insurance company	USD $0
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
Commission paid to Insurance Broker	USD $10,495
Amount paid for insurance broker fees	0
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

717264

Policy instance

Insurance contract or identification number	717264
Number of Individuals Covered	106
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $37,291
Total amount of fees paid to insurance company	USD $0
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
Commission paid to Insurance Broker	USD $27,149
Amount paid for insurance broker fees	0
Insurance broker organization code?	3

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Company Name:	FS-ISAC, INC
Employer identification number (EIN):	522204208
NAIC Classification:	813000
NAIC Description:	Religious, Grantmaking, Civic, Professional, and Similar Organizations

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:	1999-08-13
Company Identification Number:	3083067
Legal Registered Office Address:	2711 Centerville Rd Suite 400 Wilmington United States of America (USA) 19808