401k Plan data: FIRST UNUM LIFE INSURANCE CO plan

FIRST UNUM LIFE INSURANCE CO 401k Plan overview

Plan Name	FIRST UNUM LIFE INSURANCE CO
Plan identification number	520

FIRST UNUM LIFE INSURANCE CO Benefits

401k Plan Type	Welfare Benefit
Plan Features/Benefits	Life insurance Long-term disability cover

401k Sponsoring company profile

SARATOGA HARNESS RACING, INC. has sponsored the creation of one or more 401k plans.

Company Name: SARATOGA HARNESS RACING, INC.

Employer identification number (EIN): 141688208

NAIC Classification: 713200
NAIC Description: Gambling Industries

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FIRST UNUM LIFE INSURANCE CO

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
520 2016-01-01 ALEX TUCKER ALEX TUCKER 2017-07-24
520 2015-01-01 ALEX TUCKER ALEX TUCKER 2016-07-26
520 2014-01-01 NICOLE REILLY ALEX TUCKER 2015-06-22
520 2013-01-01 NICOLE REILLY ALEX TUCKER 2014-06-16

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
520	2016-01-01	ALEX TUCKER	ALEX TUCKER	2017-07-24
520	2015-01-01	ALEX TUCKER	ALEX TUCKER	2016-07-26
520	2014-01-01	NICOLE REILLY	ALEX TUCKER	2015-06-22
520	2013-01-01	NICOLE REILLY	ALEX TUCKER	2014-06-16

Plan Statistics for FIRST UNUM LIFE INSURANCE CO

401k plan membership statisitcs for FIRST UNUM LIFE INSURANCE CO

Measure Date Value
2016: FIRST UNUM LIFE INSURANCE CO 2016 401k membership
Total participants, beginning-of-year 2016-01-01 224
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 213
Total of all active and inactive participants 2016-01-01 213
Total participants 2016-01-01 213
2015: FIRST UNUM LIFE INSURANCE CO 2015 401k membership
Total participants, beginning-of-year 2015-01-01 230
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 207
Total of all active and inactive participants 2015-01-01 207
Total participants 2015-01-01 207
2014: FIRST UNUM LIFE INSURANCE CO 2014 401k membership
Total participants, beginning-of-year 2014-01-01 229
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 232
Total of all active and inactive participants 2014-01-01 232
Total participants 2014-01-01 232
2013: FIRST UNUM LIFE INSURANCE CO 2013 401k membership
Total participants, beginning-of-year 2013-01-01 228
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 223
Total of all active and inactive participants 2013-01-01 223
Total participants 2013-01-01 223

Measure	Date	Value
2016: FIRST UNUM LIFE INSURANCE CO 2016 401k membership
Total participants, beginning-of-year	2016-01-01	224
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	213
Total of all active and inactive participants	2016-01-01	213
Total participants	2016-01-01	213
2015: FIRST UNUM LIFE INSURANCE CO 2015 401k membership
Total participants, beginning-of-year	2015-01-01	230
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	207
Total of all active and inactive participants	2015-01-01	207
Total participants	2015-01-01	207
2014: FIRST UNUM LIFE INSURANCE CO 2014 401k membership
Total participants, beginning-of-year	2014-01-01	229
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	232
Total of all active and inactive participants	2014-01-01	232
Total participants	2014-01-01	232
2013: FIRST UNUM LIFE INSURANCE CO 2013 401k membership
Total participants, beginning-of-year	2013-01-01	228
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	223
Total of all active and inactive participants	2013-01-01	223
Total participants	2013-01-01	223

Form 5500 Responses for FIRST UNUM LIFE INSURANCE CO

2016: FIRST UNUM LIFE INSURANCE CO 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	First time form 5500 has been submitted	Yes
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2015: FIRST UNUM LIFE INSURANCE CO 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	First time form 5500 has been submitted	Yes
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2014: FIRST UNUM LIFE INSURANCE CO 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	First time form 5500 has been submitted	Yes
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2013: FIRST UNUM LIFE INSURANCE CO 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	First time form 5500 has been submitted	Yes
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
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 – General assets of the sponsor	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes

Insurance Providers Used on plan

FIRST UNUM LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 64297 )
Policy contract number	000000298810
Policy instance	1
FIRST UNUM LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 64297 )
Policy contract number	298810
Policy instance	1
FIRST UNUM LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 64297 )
Policy contract number	298810
Policy instance	1

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Company Name:	SARATOGA HARNESS RACING, INC.
Employer identification number (EIN):	141688208
NAIC Classification:	713200
NAIC Description:	Gambling Industries