401k Plan data: FIRST TRUST SAVINGS AND INVESTMENT PLAN plan

FIRST TRUST SAVINGS AND INVESTMENT PLAN 401k Plan overview

Plan Name	FIRST TRUST SAVINGS AND INVESTMENT PLAN
Plan identification number	003

FIRST TRUST SAVINGS AND INVESTMENT PLAN Benefits

401k Plan Type

Defined 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.
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 NONPROFIT INSURANCE COMPANY has sponsored the creation of one or more 401k plans.

Company Name: FIRST NONPROFIT INSURANCE COMPANY

Employer identification number (EIN): 363877576

NAIC Classification: 524290

Additional information about FIRST NONPROFIT INSURANCE COMPANY

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 5177808

More information about FIRST NONPROFIT INSURANCE COMPANY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FIRST TRUST SAVINGS AND INVESTMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2013-01-01 RICH DACEY
003 2012-01-01 RICH DACEY
003 2011-01-01 RICH DACEY
003 2010-01-01 RICH DACEY 2011-10-16

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
003	2013-01-01	RICH DACEY
003	2012-01-01	RICH DACEY
003	2011-01-01	RICH DACEY
003	2010-01-01	RICH DACEY	2011-10-16

Plan Statistics for FIRST TRUST SAVINGS AND INVESTMENT PLAN

401k plan membership statisitcs for FIRST TRUST SAVINGS AND INVESTMENT PLAN

Measure Date Value
2013: FIRST TRUST SAVINGS AND INVESTMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 145
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 0
Number of participants with account balances 2013-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: FIRST TRUST SAVINGS AND INVESTMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 144
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 96
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 49
Total of all active and inactive participants 2012-01-01 145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 145
Number of participants with account balances 2012-01-01 145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: FIRST TRUST SAVINGS AND INVESTMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 135
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 106
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 38
Total of all active and inactive participants 2011-01-01 144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 144
Number of participants with account balances 2011-01-01 142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 6

Measure	Date	Value
2013: FIRST TRUST SAVINGS AND INVESTMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	145
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	0
Number of participants with account balances	2013-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: FIRST TRUST SAVINGS AND INVESTMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	144
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	96
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	49
Total of all active and inactive participants	2012-01-01	145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	145
Number of participants with account balances	2012-01-01	145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: FIRST TRUST SAVINGS AND INVESTMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	135
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	106
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	38
Total of all active and inactive participants	2011-01-01	144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	144
Number of participants with account balances	2011-01-01	142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	6

Financial Data on FIRST TRUST SAVINGS AND INVESTMENT PLAN

Measure	Date	Value
2013 : FIRST TRUST SAVINGS AND INVESTMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
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	$1,649,941
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$11,598,970
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$11,449,716
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$609,751
Value of total assets at end of year	2013-12-31	$0
Value of total assets at beginning of year	2013-12-31	$9,949,029
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$149,254
Total interest from all sources	2013-12-31	$8,922
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$250,422
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$401,019
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$767,193
Other income not declared elsewhere	2013-12-31	$134,659
Administrative expenses (other) incurred	2013-12-31	$149,254
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$-9,949,029
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$9,949,029
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$7,728,191
Interest on participant loans	2013-12-31	$8,922
Value of interest in common/collective trusts at end of year	2013-12-31	$0
Value of interest in common/collective trusts at beginning of year	2013-12-31	$1,052,626
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$896,568
Net investment gain or loss from common/collective trusts	2013-12-31	$41
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$359,329
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$11,449,716
Did the plan have assets held for investment	2013-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	CLIFTON LARSON ALLEN LLP
Accountancy firm EIN	2013-12-31	410746749
2012 : FIRST TRUST SAVINGS AND INVESTMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$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	$2,730,742
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$813,807
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$805,106
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,769,219
Value of total assets at end of year	2012-12-31	$9,949,029
Value of total assets at beginning of year	2012-12-31	$8,032,094
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$8,701
Total interest from all sources	2012-12-31	$13,720
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$1,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$608,818
Participant contributions at end of year	2012-12-31	$401,019
Participant contributions at beginning of year	2012-12-31	$294,900
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$767,193
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$599,924
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$275,894
Other income not declared elsewhere	2012-12-31	$88,499
Administrative expenses (other) incurred	2012-12-31	$8,701
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$1,916,935
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$9,949,029
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$8,032,094
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$7,728,191
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$6,366,368
Interest on participant loans	2012-12-31	$13,720
Value of interest in common/collective trusts at end of year	2012-12-31	$1,052,626
Value of interest in common/collective trusts at beginning of year	2012-12-31	$770,902
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$858,822
Net investment gain or loss from common/collective trusts	2012-12-31	$482
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$884,507
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$805,106
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	CLIFTON LARSON ALLEN LLP
Accountancy firm EIN	2012-12-31	410746749
2011 : FIRST TRUST SAVINGS AND INVESTMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$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	$1,673,450
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$458,018
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$447,808
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,854,061
Value of total assets at end of year	2011-12-31	$7,855,783
Value of total assets at beginning of year	2011-12-31	$6,640,351
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$10,210
Total interest from all sources	2011-12-31	$12,218
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$545,675
Participant contributions at end of year	2011-12-31	$294,900
Participant contributions at beginning of year	2011-12-31	$266,271
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$423,613
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$423,613
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$507,340
Other income not declared elsewhere	2011-12-31	$17,419
Administrative expenses (other) incurred	2011-12-31	$10,210
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Income. Non cash contributions	2011-12-31	$0
Value of net income/loss	2011-12-31	$1,215,432
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$7,855,783
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$6,640,351
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$6,366,368
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$5,306,402
Interest on participant loans	2011-12-31	$12,218
Value of interest in common/collective trusts at end of year	2011-12-31	$770,902
Value of interest in common/collective trusts at beginning of year	2011-12-31	$644,065
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-193,640
Net investment gain or loss from common/collective trusts	2011-12-31	$811
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$801,046
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$447,808
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	TO BE DETERMINED
Accountancy firm EIN	2011-12-31	111111111

Form 5500 Responses for FIRST TRUST SAVINGS AND INVESTMENT PLAN

2013: FIRST TRUST SAVINGS AND INVESTMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	Yes
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: FIRST TRUST SAVINGS AND INVESTMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: FIRST TRUST SAVINGS AND INVESTMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	Yes
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	FIRST NONPROFIT INSURANCE COMPANY
Employer identification number (EIN):	363877576
NAIC Classification:	524290

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	5177808