401k Plan data: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN plan

THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 401k Plan overview

Plan Name	THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN
Plan identification number	001

THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 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.
Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.

401k Sponsoring company profile

THE RIGG GROUP, INC. has sponsored the creation of one or more 401k plans.

Company Name: THE RIGG GROUP, INC.

Employer identification number (EIN): 751758315

NAIC Classification: 524210
NAIC Description: Insurance Agencies and Brokerages

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 CHRISTOPHER WILSON CHRISTOPHER WILSON 2013-07-05
001 2011-01-01 CHRISTOPHER WILSON
001 2010-01-01 CHRISTOPHER WILSON
001 2009-01-01 CHRISTOPHER WILSON
001 2008-01-01 CHRISTOPHER WILSON

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2012-01-01	CHRISTOPHER WILSON	CHRISTOPHER WILSON	2013-07-05
001	2011-01-01	CHRISTOPHER WILSON
001	2010-01-01	CHRISTOPHER WILSON
001	2009-01-01	CHRISTOPHER WILSON
001	2008-01-01	CHRISTOPHER WILSON

Plan Statistics for THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN

401k plan membership statisitcs for THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN

Measure Date Value
2012: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 62
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 61
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 61
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 61
Number of participants with account balances 2012-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 62
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 61
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 1
Total of all active and inactive participants 2011-01-01 62
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 62
Number of participants with account balances 2011-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 62
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 61
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 1
Total of all active and inactive participants 2010-01-01 62
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 62
Number of participants with account balances 2010-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 63
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 61
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 62
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 62
Number of participants with account balances 2009-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0
2008: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2008 401k membership
Total participants, beginning-of-year 2008-01-01 90
Total number of active participants reported on line 7a of the Form 5500 2008-01-01 62
Number of retired or separated participants receiving benefits 2008-01-01 0
Number of other retired or separated participants entitled to future benefits 2008-01-01 1
Total of all active and inactive participants 2008-01-01 63
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-01-01 0
Total participants 2008-01-01 63
Number of participants with account balances 2008-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2008-01-01 0

Measure	Date	Value
2012: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	62
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	61
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	61
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	61
Number of participants with account balances	2012-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	62
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	61
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	1
Total of all active and inactive participants	2011-01-01	62
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	62
Number of participants with account balances	2011-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	62
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	61
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	1
Total of all active and inactive participants	2010-01-01	62
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	62
Number of participants with account balances	2010-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	63
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	61
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	62
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	62
Number of participants with account balances	2009-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0
2008: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2008 401k membership
Total participants, beginning-of-year	2008-01-01	90
Total number of active participants reported on line 7a of the Form 5500	2008-01-01	62
Number of retired or separated participants receiving benefits	2008-01-01	0
Number of other retired or separated participants entitled to future benefits	2008-01-01	1
Total of all active and inactive participants	2008-01-01	63
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-01-01	0
Total participants	2008-01-01	63
Number of participants with account balances	2008-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2008-01-01	0

Financial Data on THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN

Measure	Date	Value
2012 : THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$-94,438
Total income from all sources	2012-12-31	$243
Expenses. Total of all expenses incurred	2012-12-31	$802
Benefits paid (including direct rollovers)	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$14,801
Total plan assets at beginning of year	2012-12-31	$109,798
Total contributions received or receivable from participants	2012-12-31	$0
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$243
Net income (gross income less expenses)	2012-12-31	$-559
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$14,801
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$109,798
Assets. Value of participant loans	2012-12-31	$137
Total contributions received or receivable from employer(s)	2012-12-31	$0
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$802
2011 : THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2011 401k financial data
Total income from all sources	2011-12-31	$8,174
Expenses. Total of all expenses incurred	2011-12-31	$1,017,506
Benefits paid (including direct rollovers)	2011-12-31	$1,016,462
Total plan assets at end of year	2011-12-31	$113,454
Total plan assets at beginning of year	2011-12-31	$1,122,786
Total contributions received or receivable from participants	2011-12-31	$0
Expenses. Other expenses not covered elsewhere	2011-12-31	$1,044
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$8,174
Net income (gross income less expenses)	2011-12-31	$-1,009,332
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$113,454
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,122,786
Assets. Value of participant loans	2011-12-31	$137
Total contributions received or receivable from employer(s)	2011-12-31	$0
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$0
2010 : THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2010 401k financial data
Total income from all sources	2010-12-31	$276
Expenses. Total of all expenses incurred	2010-12-31	$2,298
Benefits paid (including direct rollovers)	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$110,349
Total plan assets at beginning of year	2010-12-31	$112,371
Total contributions received or receivable from participants	2010-12-31	$0
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$276
Net income (gross income less expenses)	2010-12-31	$-2,022
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$110,349
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$112,371
Assets. Value of participant loans	2010-12-31	$137
Total contributions received or receivable from employer(s)	2010-12-31	$0
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$2,298
2009 : THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0
2008 : THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2008 401k financial data
Total income from all sources	2008-12-31	$8,174
Expenses. Total of all expenses incurred	2008-12-31	$1,017,506
Benefits paid (including direct rollovers)	2008-12-31	$1,016,462
Total plan assets at end of year	2008-12-31	$113,454
Total plan assets at beginning of year	2008-12-31	$1,122,786
Total contributions received or receivable from participants	2008-12-31	$0
Expenses. Other expenses not covered elsewhere	2008-12-31	$1,044
Contributions received from other sources (not participants or employers)	2008-12-31	$0
Other income received	2008-12-31	$8,174
Net income (gross income less expenses)	2008-12-31	$-1,009,332
Net plan assets at end of year (total assets less liabilities)	2008-12-31	$113,454
Net plan assets at beginning of year (total assets less liabilities)	2008-12-31	$1,122,786
Assets. Value of participant loans	2008-12-31	$137
Total contributions received or receivable from employer(s)	2008-12-31	$0
Value of certain deemed distributions of participant loans	2008-12-31	$0
Value of corrective distributions	2008-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2008-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2008-12-31	$0

Form 5500 Responses for THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN

2012: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes
2008: THE RIGG GROUP, INC. 401(K) SAVINGS AND RETIREMEN 2008 form 5500 responses
2008-01-01	Type of plan entity	Single employer plan
2008-01-01	Submission has been amended	Yes
2008-01-01	This submission is the final filing	No
2008-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-01-01	Plan is a collectively bargained plan	No
2008-01-01	Plan funding arrangement – Insurance	Yes
2008-01-01	Plan funding arrangement – Trust	Yes
2008-01-01	Plan benefit arrangement – Insurance	Yes
2008-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	THE RIGG GROUP, INC.
Employer identification number (EIN):	751758315
NAIC Classification:	524210
NAIC Description:	Insurance Agencies and Brokerages