RAI 401K SAVINGS PLAN 401k Plan overview

Plan Name	RAI 401K SAVINGS PLAN
Plan identification number	001

RAI 401K SAVINGS 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. ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP). 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. Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

REYNOLDS AMERICAN INC. has sponsored the creation of one or more 401k plans.

Company Name:	REYNOLDS AMERICAN INC.
Employer identification number (EIN):	200546644
NAIC Classification:	312200
NAIC Description:	Tobacco Manufacturing

Additional information about REYNOLDS AMERICAN INC.

Jurisdiction of Incorporation:	Virginia Secretary of State
Incorporation Date:	2007-02-23
Company Identification Number:	F169914
Legal Registered Office Address:	100 SHOCKOE SLIP 2ND FLOOR RICHMOND United States of America (USA) 23219

More information about REYNOLDS AMERICAN INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RAI 401K SAVINGS PLAN

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01	CONSTANTINE E. TSIPIS		ALDEN H. SMITH	2018-10-10
001	2016-01-01	CONSTANTINE E. TSIPIS		MCDARA P. FOLAN, III	2017-10-12
001	2015-01-01	CONSTANTINE E. TSIPIS		MCDARA P. FOLAN, III	2016-10-10
001	2014-01-01	CONSTANTINE E. TSIPIS		MCDARA P. FOLAN, III	2015-10-12
001	2013-01-01	CONSTANTINE TSIPIS		MCDARA FOLAN	2014-10-02
001	2012-01-01	CONSTANTINE TSIPIS		MCDARA FOLAN	2013-10-08
001	2011-01-01	MCDARA FOLAN
001	2010-01-01	MCDARA FOLAN
001	2009-01-01	MCDARA FOLAN

Plan Statistics for RAI 401K SAVINGS PLAN

401k plan membership statisitcs for RAI 401K SAVINGS PLAN

Measure	Date	Value
2022: RAI 401K SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	8,734
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	4,248
Number of retired or separated participants receiving benefits	2022-01-01	499
Number of other retired or separated participants entitled to future benefits	2022-01-01	3,627
Total of all active and inactive participants	2022-01-01	8,374
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	143
Total participants	2022-01-01	8,517
Number of participants with account balances	2022-01-01	8,495
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	182
2021: RAI 401K SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	8,829
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	4,432
Number of retired or separated participants receiving benefits	2021-01-01	503
Number of other retired or separated participants entitled to future benefits	2021-01-01	3,663
Total of all active and inactive participants	2021-01-01	8,598
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	153
Total participants	2021-01-01	8,751
Number of participants with account balances	2021-01-01	8,734
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	254
2020: RAI 401K SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	9,017
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	4,929
Number of retired or separated participants receiving benefits	2020-01-01	219
Number of other retired or separated participants entitled to future benefits	2020-01-01	3,552
Total of all active and inactive participants	2020-01-01	8,700
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	143
Total participants	2020-01-01	8,843
Number of participants with account balances	2020-01-01	8,829
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	140
2019: RAI 401K SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	9,049
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	5,045
Number of retired or separated participants receiving benefits	2019-01-01	506
Number of other retired or separated participants entitled to future benefits	2019-01-01	3,317
Total of all active and inactive participants	2019-01-01	8,868
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	152
Total participants	2019-01-01	9,020
Number of participants with account balances	2019-01-01	9,017
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	157
2018: RAI 401K SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	9,171
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	5,025
Number of retired or separated participants receiving benefits	2018-01-01	494
Number of other retired or separated participants entitled to future benefits	2018-01-01	3,382
Total of all active and inactive participants	2018-01-01	8,901
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	155
Total participants	2018-01-01	9,056
Number of participants with account balances	2018-01-01	9,049
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	133
2017: RAI 401K SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	9,450
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	5,207
Number of retired or separated participants receiving benefits	2017-01-01	455
Number of other retired or separated participants entitled to future benefits	2017-01-01	3,372
Total of all active and inactive participants	2017-01-01	9,034
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	140
Total participants	2017-01-01	9,174
Number of participants with account balances	2017-01-01	9,171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	120
2016: RAI 401K SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	9,417
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	5,430
Number of retired or separated participants receiving benefits	2016-01-01	434
Number of other retired or separated participants entitled to future benefits	2016-01-01	3,444
Total of all active and inactive participants	2016-01-01	9,308
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	145
Total participants	2016-01-01	9,453
Number of participants with account balances	2016-01-01	9,450
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	156
2015: RAI 401K SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	9,475
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	5,290
Number of retired or separated participants receiving benefits	2015-01-01	395
Number of other retired or separated participants entitled to future benefits	2015-01-01	3,618
Total of all active and inactive participants	2015-01-01	9,303
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	115
Total participants	2015-01-01	9,418
Number of participants with account balances	2015-01-01	9,417
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	163
2014: RAI 401K SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	9,439
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	5,003
Number of retired or separated participants receiving benefits	2014-01-01	387
Number of other retired or separated participants entitled to future benefits	2014-01-01	3,971
Total of all active and inactive participants	2014-01-01	9,361
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	114
Total participants	2014-01-01	9,475
Number of participants with account balances	2014-01-01	9,440
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	120
2013: RAI 401K SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	9,695
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	5,005
Number of retired or separated participants receiving benefits	2013-01-01	360
Number of other retired or separated participants entitled to future benefits	2013-01-01	3,958
Total of all active and inactive participants	2013-01-01	9,323
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	116
Total participants	2013-01-01	9,439
Number of participants with account balances	2013-01-01	9,382
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	125
2012: RAI 401K SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	10,313
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	4,974
Number of retired or separated participants receiving benefits	2012-01-01	486
Number of other retired or separated participants entitled to future benefits	2012-01-01	4,130
Total of all active and inactive participants	2012-01-01	9,590
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	105
Total participants	2012-01-01	9,695
Number of participants with account balances	2012-01-01	9,637
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	177
2011: RAI 401K SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	10,834
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	5,358
Number of retired or separated participants receiving benefits	2011-01-01	459
Number of other retired or separated participants entitled to future benefits	2011-01-01	4,388
Total of all active and inactive participants	2011-01-01	10,205
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	108
Total participants	2011-01-01	10,313
Number of participants with account balances	2011-01-01	10,286
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	174
2010: RAI 401K SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	10,014
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	5,650
Number of retired or separated participants receiving benefits	2010-01-01	452
Number of other retired or separated participants entitled to future benefits	2010-01-01	4,631
Total of all active and inactive participants	2010-01-01	10,733
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	101
Total participants	2010-01-01	10,834
Number of participants with account balances	2010-01-01	10,760
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	170
2009: RAI 401K SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	10,557
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	4,943
Number of retired or separated participants receiving benefits	2009-01-01	447
Number of other retired or separated participants entitled to future benefits	2009-01-01	4,533
Total of all active and inactive participants	2009-01-01	9,923
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	91
Total participants	2009-01-01	10,014
Number of participants with account balances	2009-01-01	9,806
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	130

Financial Data on RAI 401K SAVINGS PLAN

Measure	Date	Value
2022 : RAI 401K SAVINGS PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$1,450,317
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$176,832
Total income from all sources (including contributions)	2022-12-31	$-192,969,972
Total loss/gain on sale of assets	2022-12-31	$-39,686,378
Total of all expenses incurred	2022-12-31	$223,287,678
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$222,833,597
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$87,573,753
Value of total assets at end of year	2022-12-31	$1,835,007,086
Value of total assets at beginning of year	2022-12-31	$2,249,991,251
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$454,081
Total interest from all sources	2022-12-31	$31,008,371
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$10,052,375
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Administrative expenses professional fees incurred	2022-12-31	$173,053
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$6,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$46,039,776
Participant contributions at end of year	2022-12-31	$15,742,648
Participant contributions at beginning of year	2022-12-31	$17,437,633
Assets. Other investments not covered elsewhere at end of year	2022-12-31	$104,760,303
Assets. Other investments not covered elsewhere at beginning of year	2022-12-31	$140,140,225
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$3,146,367
Value of other receiveables (less allowance for doubtful accounts) at end of year	2022-12-31	$6,575,941
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2022-12-31	$2,918,914
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2022-12-31	$1,450,317
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2022-12-31	$176,832
Other income not declared elsewhere	2022-12-31	$-281,918,093
Administrative expenses (other) incurred	2022-12-31	$268,022
Total non interest bearing cash at end of year	2022-12-31	$124,636
Total non interest bearing cash at beginning of year	2022-12-31	$145,102
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-416,257,650
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$1,833,556,769
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$2,249,814,419
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$635,312,319
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$871,453,244
Interest on participant loans	2022-12-31	$817,765
Interest earned on other investments	2022-12-31	$29,820,438
Income. Interest from corporate debt instruments	2022-12-31	$222
Value of interest in common/collective trusts at end of year	2022-12-31	$936,863,372
Value of interest in common/collective trusts at beginning of year	2022-12-31	$1,084,464,235
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2022-12-31	$8,589
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2022-12-31	$2,448,287
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2022-12-31	$2,448,287
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2022-12-31	$369,946
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Assets. Invements in employer securities at end of year	2022-12-31	$133,554,110
Assets. Invements in employer securities at beginning of year	2022-12-31	$128,888,823
Contributions received in cash from employer	2022-12-31	$38,387,610
Employer contributions (assets) at end of year	2022-12-31	$2,065,168
Employer contributions (assets) at beginning of year	2022-12-31	$2,094,788
Income. Dividends from preferred stock	2022-12-31	$10,850
Income. Dividends from common stock	2022-12-31	$10,041,525
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$222,833,597
Contract administrator fees	2022-12-31	$13,006
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Aggregate proceeds on sale of assets	2022-12-31	$-39,686,378
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	MAYER HOFFMAN MCCANN P. C.
Accountancy firm EIN	2022-12-31	431947695
2021 : RAI 401K SAVINGS PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$176,832
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$997,642
Total income from all sources (including contributions)	2021-12-31	$376,826,078
Total loss/gain on sale of assets	2021-12-31	$81,449,744
Total of all expenses incurred	2021-12-31	$289,250,880
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$288,842,233
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$96,934,445
Value of total assets at end of year	2021-12-31	$2,249,991,251
Value of total assets at beginning of year	2021-12-31	$2,163,236,863
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$408,647
Total interest from all sources	2021-12-31	$60,599,300
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$11,466,873
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Administrative expenses professional fees incurred	2021-12-31	$122,999
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$6,000,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$50,618,492
Participant contributions at end of year	2021-12-31	$17,437,633
Participant contributions at beginning of year	2021-12-31	$18,529,472
Assets. Other investments not covered elsewhere at end of year	2021-12-31	$140,140,225
Assets. Other investments not covered elsewhere at beginning of year	2021-12-31	$133,145,252
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$4,376,548
Value of other receiveables (less allowance for doubtful accounts) at end of year	2021-12-31	$2,918,914
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2021-12-31	$4,907,516
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2021-12-31	$176,832
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2021-12-31	$997,642
Other income not declared elsewhere	2021-12-31	$126,375,716
Administrative expenses (other) incurred	2021-12-31	$266,089
Total non interest bearing cash at end of year	2021-12-31	$145,102
Total non interest bearing cash at beginning of year	2021-12-31	$118,086
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$87,575,198
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$2,249,814,419
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$2,162,239,221
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$871,453,244
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$823,180,863
Interest on participant loans	2021-12-31	$947,528
Interest earned on other investments	2021-12-31	$59,635,541
Income. Interest from corporate debt instruments	2021-12-31	$343
Value of interest in common/collective trusts at end of year	2021-12-31	$1,084,464,235
Value of interest in common/collective trusts at beginning of year	2021-12-31	$1,045,061,489
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2021-12-31	$2,448,287
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2021-12-31	$518,115
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2021-12-31	$518,115
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2021-12-31	$15,888
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Assets. Invements in employer securities at end of year	2021-12-31	$128,888,823
Assets. Invements in employer securities at beginning of year	2021-12-31	$136,059,739
Contributions received in cash from employer	2021-12-31	$41,939,405
Employer contributions (assets) at end of year	2021-12-31	$2,094,788
Employer contributions (assets) at beginning of year	2021-12-31	$1,716,331
Income. Dividends from preferred stock	2021-12-31	$11,985
Income. Dividends from common stock	2021-12-31	$11,454,888
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$288,842,233
Contract administrator fees	2021-12-31	$19,559
Did the plan have assets held for investment	2021-12-31	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	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Aggregate proceeds on sale of assets	2021-12-31	$81,449,744
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	MAYER HOFFMAN MCCANN P. C.
Accountancy firm EIN	2021-12-31	431947695
2020 : RAI 401K SAVINGS PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$997,642
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$1,271,699
Total income from all sources (including contributions)	2020-12-31	$316,961,350
Total loss/gain on sale of assets	2020-12-31	$-25,015,677
Total of all expenses incurred	2020-12-31	$187,486,564
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$187,001,291
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$93,419,775
Value of total assets at end of year	2020-12-31	$2,163,236,863
Value of total assets at beginning of year	2020-12-31	$2,034,036,134
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$485,273
Total interest from all sources	2020-12-31	$55,974,284
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$11,488,873
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Administrative expenses professional fees incurred	2020-12-31	$142,412
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$5,935,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$49,956,389
Participant contributions at end of year	2020-12-31	$18,529,472
Participant contributions at beginning of year	2020-12-31	$20,387,710
Assets. Other investments not covered elsewhere at end of year	2020-12-31	$133,145,252
Assets. Other investments not covered elsewhere at beginning of year	2020-12-31	$93,173,404
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$2,721,142
Value of other receiveables (less allowance for doubtful accounts) at end of year	2020-12-31	$4,907,516
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2020-12-31	$3,268,132
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2020-12-31	$997,642
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2020-12-31	$1,271,699
Other income not declared elsewhere	2020-12-31	$185,458,610
Administrative expenses (other) incurred	2020-12-31	$276,344
Total non interest bearing cash at end of year	2020-12-31	$118,086
Total non interest bearing cash at beginning of year	2020-12-31	$272,832
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	$129,474,786
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$2,162,239,221
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$2,032,764,435
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	$823,180,863
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$766,779,080
Interest on participant loans	2020-12-31	$1,097,676
Interest earned on other investments	2020-12-31	$54,791,608
Income. Interest from US Government securities	2020-12-31	$651
Value of interest in common/collective trusts at end of year	2020-12-31	$1,045,061,489
Value of interest in common/collective trusts at beginning of year	2020-12-31	$969,408,250
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$518,115
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$4,298,660
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$4,298,660
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-12-31	$84,349
Net investment gain or loss from common/collective trusts	2020-12-31	$-4,364,515
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	Yes
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Assets. Invements in employer securities at end of year	2020-12-31	$136,059,739
Assets. Invements in employer securities at beginning of year	2020-12-31	$174,882,140
Contributions received in cash from employer	2020-12-31	$40,742,244
Employer contributions (assets) at end of year	2020-12-31	$1,716,331
Employer contributions (assets) at beginning of year	2020-12-31	$1,565,926
Income. Dividends from preferred stock	2020-12-31	$12,048
Income. Dividends from common stock	2020-12-31	$11,476,825
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$187,001,291
Contract administrator fees	2020-12-31	$66,517
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
Aggregate proceeds on sale of assets	2020-12-31	$-25,015,677
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	KPMG LLP
Accountancy firm EIN	2020-12-31	135565207
2019 : RAI 401K SAVINGS PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$1,271,699
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$143,059
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$143,059
Total income from all sources (including contributions)	2019-12-31	$442,330,931
Total loss/gain on sale of assets	2019-12-31	$80,043,098
Total of all expenses incurred	2019-12-31	$194,679,650
Total of all expenses incurred	2019-12-31	$194,679,650
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$193,920,466
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$193,920,466
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$89,383,581
Value of total assets at end of year	2019-12-31	$2,034,036,134
Value of total assets at beginning of year	2019-12-31	$1,785,256,213
Value of total assets at beginning of year	2019-12-31	$1,785,256,213
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$759,184
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$759,184
Total interest from all sources	2019-12-31	$38,851,541
Total interest from all sources	2019-12-31	$38,851,541
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$12,006,996
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Administrative expenses professional fees incurred	2019-12-31	$152,250
Administrative expenses professional fees incurred	2019-12-31	$152,250
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$6,312,000
Value of fidelity bond cover	2019-12-31	$6,312,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
If this is an individual account plan, was there a blackout period	2019-12-31	No
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	$47,029,172
Participant contributions at end of year	2019-12-31	$20,387,710
Participant contributions at end of year	2019-12-31	$20,387,710
Participant contributions at beginning of year	2019-12-31	$19,887,626
Participant contributions at beginning of year	2019-12-31	$19,887,626
Participant contributions at beginning of year	2019-12-31	$882
Participant contributions at beginning of year	2019-12-31	$882
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$93,173,404
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$81,400,185
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$3,677,440
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-12-31	$3,268,132
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-12-31	$3,268,132
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$7,728,830
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2019-12-31	$1,271,699
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$143,059
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$143,059
Other income not declared elsewhere	2019-12-31	$203,545,933
Administrative expenses (other) incurred	2019-12-31	$234,434
Administrative expenses (other) incurred	2019-12-31	$234,434
Total non interest bearing cash at end of year	2019-12-31	$272,832
Total non interest bearing cash at end of year	2019-12-31	$272,832
Total non interest bearing cash at beginning of year	2019-12-31	$50,505
Total non interest bearing cash at beginning of year	2019-12-31	$50,505
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
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	$247,651,281
Value of net income/loss	2019-12-31	$247,651,281
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$2,032,764,435
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$1,785,113,154
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$1,785,113,154
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
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 registered invesment companies (eg mutual funds) at end of year	2019-12-31	$766,779,080
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$710,446,961
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$710,446,961
Interest on participant loans	2019-12-31	$1,099,660
Interest on participant loans	2019-12-31	$1,099,660
Interest earned on other investments	2019-12-31	$37,308,849
Interest earned on other investments	2019-12-31	$37,308,849
Income. Interest from US Government securities	2019-12-31	$3,641
Income. Interest from US Government securities	2019-12-31	$3,641
Value of interest in common/collective trusts at end of year	2019-12-31	$969,408,250
Value of interest in common/collective trusts at end of year	2019-12-31	$969,408,250
Value of interest in common/collective trusts at beginning of year	2019-12-31	$829,572,147
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$4,298,660
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$4,298,660
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$1,252,905
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$1,252,905
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$1,252,905
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$1,252,905
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$439,391
Net investment gain or loss from common/collective trusts	2019-12-31	$18,499,782
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Assets. Invements in employer securities at end of year	2019-12-31	$174,882,140
Assets. Invements in employer securities at beginning of year	2019-12-31	$133,101,733
Assets. Invements in employer securities at beginning of year	2019-12-31	$133,101,733
Contributions received in cash from employer	2019-12-31	$38,676,969
Employer contributions (assets) at end of year	2019-12-31	$1,565,926
Employer contributions (assets) at end of year	2019-12-31	$1,565,926
Employer contributions (assets) at beginning of year	2019-12-31	$1,814,439
Employer contributions (assets) at beginning of year	2019-12-31	$1,814,439
Income. Dividends from preferred stock	2019-12-31	$12,418
Income. Dividends from preferred stock	2019-12-31	$12,418
Income. Dividends from common stock	2019-12-31	$11,994,578
Income. Dividends from common stock	2019-12-31	$11,994,578
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$193,920,466
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$193,920,466
Contract administrator fees	2019-12-31	$372,500
Contract administrator fees	2019-12-31	$372,500
Did the plan have assets held for investment	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
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
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
Aggregate proceeds on sale of assets	2019-12-31	$80,043,098
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	No
Opinion of an independent qualified public accountant for this plan	2019-12-31	Unqualified
Opinion of an independent qualified public accountant for this plan	2019-12-31	Unqualified
Accountancy firm name	2019-12-31	KPMG LLP
Accountancy firm name	2019-12-31	KPMG LLP
Accountancy firm EIN	2019-12-31	135565207
2018 : RAI 401K SAVINGS PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total transfer of assets to this plan	2018-12-31	$5,805,073
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$143,059
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$6,112,647
Total income from all sources (including contributions)	2018-12-31	$-149,217,138
Total loss/gain on sale of assets	2018-12-31	$-86,380,938
Total of all expenses incurred	2018-12-31	$167,953,103
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$167,454,609
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$89,541,489
Value of total assets at end of year	2018-12-31	$1,785,256,213
Value of total assets at beginning of year	2018-12-31	$2,102,590,969
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$498,494
Total interest from all sources	2018-12-31	$50,401,176
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$12,895,165
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Administrative expenses professional fees incurred	2018-12-31	$92,741
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$5,300,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$47,460,083
Participant contributions at end of year	2018-12-31	$19,887,626
Participant contributions at beginning of year	2018-12-31	$17,941,137
Participant contributions at end of year	2018-12-31	$882
Participant contributions at beginning of year	2018-12-31	$198
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$81,400,185
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$81,159,375
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$2,951,763
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$7,728,830
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$3,784,092
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2018-12-31	$143,059
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$6,112,647
Other income not declared elsewhere	2018-12-31	$-217,714,017
Total non interest bearing cash at end of year	2018-12-31	$50,505
Total non interest bearing cash at beginning of year	2018-12-31	$55,059
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-317,170,241
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$1,785,113,154
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$2,096,478,322
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$199,235
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$710,446,961
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$794,088,697
Interest on participant loans	2018-12-31	$948,765
Interest earned on other investments	2018-12-31	$49,083,513
Income. Interest from corporate debt instruments	2018-12-31	$12,665
Value of interest in common/collective trusts at end of year	2018-12-31	$829,572,147
Value of interest in common/collective trusts at beginning of year	2018-12-31	$864,646,404
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$1,252,905
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$9,815,743
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$9,815,743
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$356,233
Net investment gain or loss from common/collective trusts	2018-12-31	$2,039,987
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Assets. Invements in employer securities at end of year	2018-12-31	$133,101,733
Assets. Invements in employer securities at beginning of year	2018-12-31	$329,327,029
Contributions received in cash from employer	2018-12-31	$39,129,643
Employer contributions (assets) at end of year	2018-12-31	$1,814,439
Employer contributions (assets) at beginning of year	2018-12-31	$1,773,235
Income. Dividends from preferred stock	2018-12-31	$11,772
Income. Dividends from common stock	2018-12-31	$12,883,393
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$167,454,609
Contract administrator fees	2018-12-31	$206,518
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Aggregate proceeds on sale of assets	2018-12-31	$-86,380,938
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	No
Opinion of an independent qualified public accountant for this plan	2018-12-31	Unqualified
Accountancy firm name	2018-12-31	KPMG LLP
Accountancy firm EIN	2018-12-31	135565207
2017 : RAI 401K SAVINGS PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$6,112,647
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$3,174,140
Total income from all sources (including contributions)	2017-12-31	$374,832,568
Total loss/gain on sale of assets	2017-12-31	$121,373,269
Total of all expenses incurred	2017-12-31	$193,634,441
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$193,090,587
Expenses. Certain deemed distributions of participant loans	2017-12-31	$359
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$92,196,614
Value of total assets at end of year	2017-12-31	$2,102,590,969
Value of total assets at beginning of year	2017-12-31	$1,918,454,335
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$543,495
Total interest from all sources	2017-12-31	$25,279,898
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$15,381,331
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Administrative expenses professional fees incurred	2017-12-31	$104,409
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$35,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$48,453,382
Participant contributions at end of year	2017-12-31	$17,941,137
Participant contributions at beginning of year	2017-12-31	$15,532,929
Participant contributions at end of year	2017-12-31	$198
Participant contributions at beginning of year	2017-12-31	$782
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$81,159,375
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$54,473,716
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$3,788,879
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$3,784,092
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$4,718,265
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$6,112,647
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-12-31	$3,174,140
Administrative expenses (other) incurred	2017-12-31	$116,561
Total non interest bearing cash at end of year	2017-12-31	$55,059
Total non interest bearing cash at beginning of year	2017-12-31	$36,165
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$181,198,127
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$2,096,478,322
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$1,915,280,195
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$794,088,697
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$598,868,160
Interest on participant loans	2017-12-31	$755,784
Interest earned on other investments	2017-12-31	$24,077,250
Income. Interest from corporate debt instruments	2017-12-31	$4,019
Value of interest in common/collective trusts at end of year	2017-12-31	$864,646,404
Value of interest in common/collective trusts at beginning of year	2017-12-31	$717,803,102
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$9,815,743
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$9,850,432
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$9,850,432
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$442,845
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$92,257,301
Net investment gain or loss from common/collective trusts	2017-12-31	$28,344,155
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Assets. Invements in employer securities at end of year	2017-12-31	$329,327,029
Assets. Invements in employer securities at beginning of year	2017-12-31	$515,467,323
Assets. Value of employer real property at beginning of year	2017-12-31	$0
Contributions received in cash from employer	2017-12-31	$39,954,353
Employer contributions (assets) at end of year	2017-12-31	$1,773,235
Employer contributions (assets) at beginning of year	2017-12-31	$1,703,461
Income. Dividends from preferred stock	2017-12-31	$11,851
Income. Dividends from common stock	2017-12-31	$15,369,480
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$193,090,587
Contract administrator fees	2017-12-31	$322,525
Assets. Value of buildings and other operty used in plan operation at beginning of year	2017-12-31	$0
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Aggregate proceeds on sale of assets	2017-12-31	$121,373,269
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	No
Opinion of an independent qualified public accountant for this plan	2017-12-31	Unqualified
Accountancy firm name	2017-12-31	KPMG LLP
Accountancy firm EIN	2017-12-31	135565207
2016 : RAI 401K SAVINGS PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets	2016-12-31	$0
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$0
Total transfer of assets from this plan	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$3,174,140
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$6,558,933
Expenses. Interest paid	2016-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$297,962,726
Total loss/gain on sale of assets	2016-12-31	$27,039,445
Total of all expenses incurred	2016-12-31	$125,067,502
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$124,537,047
Expenses. Certain deemed distributions of participant loans	2016-12-31	$621
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$89,073,954
Value of total assets at end of year	2016-12-31	$1,918,454,335
Value of total assets at beginning of year	2016-12-31	$1,748,943,904
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$529,834
Total income from rents	2016-12-31	$0
Total interest from all sources	2016-12-31	$21,351,291
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$16,611,726
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Administrative expenses professional fees incurred	2016-12-31	$69,623
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$35,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$47,635,206
Participant contributions at end of year	2016-12-31	$15,532,929
Participant contributions at beginning of year	2016-12-31	$13,833,596
Participant contributions at end of year	2016-12-31	$782
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$54,473,716
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$51,293,439
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$1,297,182
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$4,718,265
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$4,902,970
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-12-31	$3,174,140
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$6,558,933
Administrative expenses (other) incurred	2016-12-31	$73,465
Total non interest bearing cash at end of year	2016-12-31	$36,165
Total non interest bearing cash at beginning of year	2016-12-31	$30,184
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$172,895,224
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$1,915,280,195
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$1,742,384,971
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$22,924
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$598,868,160
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$566,730,175
Interest on participant loans	2016-12-31	$624,474
Income. Interest from loans (other than to participants)	2016-12-31	$0
Interest earned on other investments	2016-12-31	$20,665,436
Income. Interest from US Government securities	2016-12-31	$0
Income. Interest from corporate debt instruments	2016-12-31	$650
Value of interest in common/collective trusts at end of year	2016-12-31	$717,803,102
Value of interest in common/collective trusts at beginning of year	2016-12-31	$695,239,086
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$9,850,432
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$8,066,707
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$8,066,707
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$60,731
Expenses. Payments to insurance carriers foe the provision of benefits	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$142,458,446
Net investment gain/loss from pooled separate accounts	2016-12-31	$0
Net investment gain or loss from common/collective trusts	2016-12-31	$1,427,864
Net gain/loss from 103.12 investment entities	2016-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2016-12-31	Yes
Assets. Invements in employer securities at end of year	2016-12-31	$515,467,323
Assets. Invements in employer securities at beginning of year	2016-12-31	$407,864,029
Assets. Value of employer real property at end of year	2016-12-31	$0
Assets. Value of employer real property at beginning of year	2016-12-31	$0
Contributions received in cash from employer	2016-12-31	$40,141,566
Employer contributions (assets) at end of year	2016-12-31	$1,703,461
Employer contributions (assets) at beginning of year	2016-12-31	$983,718
Income. Dividends from preferred stock	2016-12-31	$13,235
Income. Dividends from common stock	2016-12-31	$16,598,491
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$124,537,047
Contract administrator fees	2016-12-31	$363,822
Assets. Value of buildings and other operty used in plan operation at end of year	2016-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2016-12-31	$0
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Aggregate proceeds on sale of assets	2016-12-31	$27,039,445
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	No
Opinion of an independent qualified public accountant for this plan	2016-12-31	Unqualified
Accountancy firm name	2016-12-31	KPMG LLP
Accountancy firm EIN	2016-12-31	135565207
2015 : RAI 401K SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$6,558,933
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$6,687,894
Total income from all sources (including contributions)	2015-12-31	$208,221,719
Total loss/gain on sale of assets	2015-12-31	$32,830,118
Total of all expenses incurred	2015-12-31	$153,876,329
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$153,160,457
Expenses. Certain deemed distributions of participant loans	2015-12-31	$8,348
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$87,470,414
Value of total assets at end of year	2015-12-31	$1,748,943,904
Value of total assets at beginning of year	2015-12-31	$1,694,727,475
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$707,524
Total interest from all sources	2015-12-31	$22,858,690
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$12,529,206
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Administrative expenses professional fees incurred	2015-12-31	$81,651
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$35,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$43,769,032
Participant contributions at end of year	2015-12-31	$13,833,596
Participant contributions at beginning of year	2015-12-31	$13,244,022
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$51,293,439
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$50,095,269
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$5,502,825
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$4,902,970
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$4,171,509
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$6,558,933
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$6,687,894
Administrative expenses (other) incurred	2015-12-31	$70,569
Total non interest bearing cash at end of year	2015-12-31	$30,184
Total non interest bearing cash at beginning of year	2015-12-31	$26,718
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$54,345,390
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$1,742,384,971
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$1,688,039,581
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$222,239
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$566,730,175
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$530,944,751
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$0
Interest on participant loans	2015-12-31	$560,730
Interest earned on other investments	2015-12-31	$22,275,922
Value of interest in common/collective trusts at end of year	2015-12-31	$695,239,086
Value of interest in common/collective trusts at beginning of year	2015-12-31	$474,914,652
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$8,066,707
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$5,224,499
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$5,224,499
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$22,038
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$350,842,194
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$52,090,718
Net investment gain or loss from common/collective trusts	2015-12-31	$442,573
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Assets. Invements in employer securities at end of year	2015-12-31	$407,864,029
Assets. Invements in employer securities at beginning of year	2015-12-31	$264,049,152
Contributions received in cash from employer	2015-12-31	$38,198,557
Employer contributions (assets) at end of year	2015-12-31	$983,718
Employer contributions (assets) at beginning of year	2015-12-31	$1,214,709
Income. Dividends from preferred stock	2015-12-31	$12,968
Income. Dividends from common stock	2015-12-31	$12,516,238
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$153,160,457
Contract administrator fees	2015-12-31	$333,065
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Aggregate proceeds on sale of assets	2015-12-31	$32,830,118
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	KPMG LLP
Accountancy firm EIN	2015-12-31	135565207
2014 : RAI 401K SAVINGS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$6,687,894
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$8,230,151
Total income from all sources (including contributions)	2014-12-31	$218,652,677
Total loss/gain on sale of assets	2014-12-31	$26,029,934
Total of all expenses incurred	2014-12-31	$154,566,854
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$153,742,072
Expenses. Certain deemed distributions of participant loans	2014-12-31	$2,803
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$78,862,141
Value of total assets at end of year	2014-12-31	$1,694,727,475
Value of total assets at beginning of year	2014-12-31	$1,632,183,909
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$821,979
Total interest from all sources	2014-12-31	$22,621,896
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$11,241,711
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Administrative expenses professional fees incurred	2014-12-31	$59,731
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$35,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$39,716,321
Participant contributions at end of year	2014-12-31	$13,244,022
Participant contributions at beginning of year	2014-12-31	$13,388,971
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$50,095,269
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$46,772,162
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$2,090,887
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$4,171,509
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$3,564,589
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$6,687,894
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$8,230,151
Administrative expenses (other) incurred	2014-12-31	$68,979
Total non interest bearing cash at end of year	2014-12-31	$26,718
Total non interest bearing cash at beginning of year	2014-12-31	$29,679
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$64,085,823
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$1,688,039,581
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$1,623,953,758
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$369,371
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$530,944,751
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$521,547,431
Value of interest in pooled separate accounts at end of year	2014-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$11,369,051
Interest on participant loans	2014-12-31	$554,258
Interest earned on other investments	2014-12-31	$22,046,669
Income. Interest from corporate debt instruments	2014-12-31	$369
Value of interest in common/collective trusts at end of year	2014-12-31	$474,914,652
Value of interest in common/collective trusts at beginning of year	2014-12-31	$468,138,066
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$5,224,499
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$3,325,672
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$3,325,672
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$20,600
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$350,842,194
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$368,828,031
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$75,598,193
Net investment gain or loss from common/collective trusts	2014-12-31	$4,298,802
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Assets. Invements in employer securities at end of year	2014-12-31	$264,049,152
Assets. Invements in employer securities at beginning of year	2014-12-31	$194,825,877
Contributions received in cash from employer	2014-12-31	$37,054,933
Employer contributions (assets) at end of year	2014-12-31	$1,214,709
Employer contributions (assets) at beginning of year	2014-12-31	$394,380
Income. Dividends from preferred stock	2014-12-31	$9,297
Income. Dividends from common stock	2014-12-31	$11,232,414
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$153,742,072
Contract administrator fees	2014-12-31	$323,898
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Aggregate proceeds on sale of assets	2014-12-31	$26,029,934
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	KPMG LLP
Accountancy firm EIN	2014-12-31	135565207
2013 : RAI 401K SAVINGS 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	$8,230,151
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$10,332,379
Total income from all sources (including contributions)	2013-12-31	$280,737,888
Total loss/gain on sale of assets	2013-12-31	$36,882,993
Total of all expenses incurred	2013-12-31	$167,212,476
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$166,242,243
Expenses. Certain deemed distributions of participant loans	2013-12-31	$3,374
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$70,662,244
Value of total assets at end of year	2013-12-31	$1,632,183,909
Value of total assets at beginning of year	2013-12-31	$1,520,760,725
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$966,859
Total interest from all sources	2013-12-31	$27,061,091
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$9,281,259
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Administrative expenses professional fees incurred	2013-12-31	$62,986
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$100,000,000
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	$35,842,417
Participant contributions at end of year	2013-12-31	$13,388,971
Participant contributions at beginning of year	2013-12-31	$13,426,882
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$46,772,162
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$38,326,552
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$878,822
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$3,564,589
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$3,355,459
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$8,230,151
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$10,332,379
Administrative expenses (other) incurred	2013-12-31	$59,792
Total non interest bearing cash at end of year	2013-12-31	$29,679
Total non interest bearing cash at beginning of year	2013-12-31	$24,209
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	$113,525,412
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$1,623,953,758
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$1,510,428,346
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
Investment advisory and management fees	2013-12-31	$280,175
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$521,547,431
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$463,180,824
Value of interest in pooled separate accounts at end of year	2013-12-31	$11,369,051
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$14,015,049
Interest on participant loans	2013-12-31	$575,499
Interest earned on other investments	2013-12-31	$26,468,696
Income. Interest from corporate debt instruments	2013-12-31	$805
Value of interest in common/collective trusts at end of year	2013-12-31	$468,138,066
Value of interest in common/collective trusts at beginning of year	2013-12-31	$476,355,647
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$3,325,672
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$2,304,624
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$2,304,624
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$16,091
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$368,828,031
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$354,779,788
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$132,078,497
Net investment gain or loss from common/collective trusts	2013-12-31	$4,771,804
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
Assets. Invements in employer securities at end of year	2013-12-31	$194,825,877
Assets. Invements in employer securities at beginning of year	2013-12-31	$154,991,691
Contributions received in cash from employer	2013-12-31	$33,941,005
Employer contributions (assets) at end of year	2013-12-31	$394,380
Income. Dividends from preferred stock	2013-12-31	$1,647
Income. Dividends from common stock	2013-12-31	$9,279,612
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$166,242,243
Contract administrator fees	2013-12-31	$563,906
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	2013-12-31	No
Did the plan have assets held for investment	2013-12-31	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	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	No
Aggregate proceeds on sale of assets	2013-12-31	$36,882,993
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	KPMG LLP
Accountancy firm EIN	2013-12-31	135565207
2012 : RAI 401K SAVINGS 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	$10,332,379
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$4,109,842
Total income from all sources (including contributions)	2012-12-31	$186,719,484
Total loss/gain on sale of assets	2012-12-31	$37,506,173
Total of all expenses incurred	2012-12-31	$215,750,318
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$214,081,148
Expenses. Certain deemed distributions of participant loans	2012-12-31	$33,962
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$68,234,982
Value of total assets at end of year	2012-12-31	$1,520,760,725
Value of total assets at beginning of year	2012-12-31	$1,543,569,022
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$1,635,208
Total interest from all sources	2012-12-31	$19,436,857
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$8,956,271
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Administrative expenses professional fees incurred	2012-12-31	$67,273
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$35,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
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	$34,952,678
Participant contributions at end of year	2012-12-31	$13,426,882
Participant contributions at beginning of year	2012-12-31	$14,988,714
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$38,326,552
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$36,187,394
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$517,587
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$3,355,459
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$2,087,371
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2012-12-31	$10,332,379
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-12-31	$4,109,842
Administrative expenses (other) incurred	2012-12-31	$31,334
Total non interest bearing cash at end of year	2012-12-31	$24,209
Total non interest bearing cash at beginning of year	2012-12-31	$33,871
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	$-29,030,834
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$1,510,428,346
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$1,539,459,180
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
Investment advisory and management fees	2012-12-31	$747,628
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$463,180,824
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$431,671,554
Value of interest in pooled separate accounts at end of year	2012-12-31	$14,015,049
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$13,828,203
Interest on participant loans	2012-12-31	$707,793
Interest earned on other investments	2012-12-31	$18,543,113
Income. Interest from corporate debt instruments	2012-12-31	$1,413
Value of interest in common/collective trusts at end of year	2012-12-31	$476,355,647
Value of interest in common/collective trusts at beginning of year	2012-12-31	$307,840,256
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$2,304,624
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$139,700,966
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$139,700,966
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$184,538
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$354,779,788
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$440,236,100
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$30,939,374
Net investment gain or loss from common/collective trusts	2012-12-31	$21,645,827
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
Assets. Invements in employer securities at end of year	2012-12-31	$154,991,691
Assets. Invements in employer securities at beginning of year	2012-12-31	$155,118,831
Contributions received in cash from employer	2012-12-31	$32,764,717
Employer contributions (assets) at beginning of year	2012-12-31	$1,875,762
Income. Dividends from preferred stock	2012-12-31	$719
Income. Dividends from common stock	2012-12-31	$8,955,552
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$214,081,148
Contract administrator fees	2012-12-31	$788,973
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	2012-12-31	No
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
Aggregate proceeds on sale of assets	2012-12-31	$37,506,173
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	KPMG LLP
Accountancy firm EIN	2012-12-31	135565207
2011 : RAI 401K SAVINGS 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	$4,109,842
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$2,436,284
Total income from all sources (including contributions)	2011-12-31	$107,403,968
Total loss/gain on sale of assets	2011-12-31	$24,521,866
Total of all expenses incurred	2011-12-31	$182,109,518
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$179,768,365
Expenses. Certain deemed distributions of participant loans	2011-12-31	$36,869
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$74,026,385
Value of total assets at end of year	2011-12-31	$1,543,569,022
Value of total assets at beginning of year	2011-12-31	$1,616,601,014
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$2,304,284
Total interest from all sources	2011-12-31	$11,462,053
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$8,002,824
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Administrative expenses professional fees incurred	2011-12-31	$66,588
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$35,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
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	$36,918,079
Participant contributions at end of year	2011-12-31	$14,988,714
Participant contributions at beginning of year	2011-12-31	$18,004,841
Participant contributions at beginning of year	2011-12-31	$63,018
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$36,187,394
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$35,972,468
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$621,214
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$2,087,371
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$1,690,248
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$4,109,842
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$2,436,284
Administrative expenses (other) incurred	2011-12-31	$80,603
Total non interest bearing cash at end of year	2011-12-31	$33,871
Total non interest bearing cash at beginning of year	2011-12-31	$29,646
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
Value of net income/loss	2011-12-31	$-74,705,550
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$1,539,459,180
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$1,614,164,730
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
Investment advisory and management fees	2011-12-31	$1,387,384
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$431,671,554
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$440,512,050
Value of interest in pooled separate accounts at end of year	2011-12-31	$13,828,203
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$13,624,117
Interest on participant loans	2011-12-31	$776,774
Interest earned on other investments	2011-12-31	$10,448,306
Income. Interest from corporate debt instruments	2011-12-31	$335
Value of interest in common/collective trusts at end of year	2011-12-31	$307,840,256
Value of interest in common/collective trusts at beginning of year	2011-12-31	$375,067,040
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$139,700,966
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$128,251,098
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$128,251,098
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$236,638
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$440,236,100
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$485,827,339
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-15,219,473
Net investment gain or loss from common/collective trusts	2011-12-31	$4,610,313
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
Assets. Invements in employer securities at end of year	2011-12-31	$155,118,831
Assets. Invements in employer securities at beginning of year	2011-12-31	$114,825,671
Contributions received in cash from employer	2011-12-31	$36,487,092
Employer contributions (assets) at end of year	2011-12-31	$1,875,762
Employer contributions (assets) at beginning of year	2011-12-31	$2,733,478
Income. Dividends from preferred stock	2011-12-31	$980
Income. Dividends from common stock	2011-12-31	$8,001,844
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$179,768,365
Contract administrator fees	2011-12-31	$769,709
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	2011-12-31	No
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
Aggregate proceeds on sale of assets	2011-12-31	$24,521,866
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	KPMG LLP
Accountancy firm EIN	2011-12-31	135565207
2010 : RAI 401K SAVINGS PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total transfer of assets to this plan	2010-12-31	$161,316,278
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$2,436,284
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$2,949,444
Total income from all sources (including contributions)	2010-12-31	$237,645,529
Total loss/gain on sale of assets	2010-12-31	$6,680,832
Total of all expenses incurred	2010-12-31	$189,607,247
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$187,135,801
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$76,188,413
Value of total assets at end of year	2010-12-31	$1,616,601,014
Value of total assets at beginning of year	2010-12-31	$1,407,759,614
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$2,471,446
Total interest from all sources	2010-12-31	$11,542,453
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$5,951,426
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Administrative expenses professional fees incurred	2010-12-31	$125,811
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$35,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$36,447,838
Participant contributions at end of year	2010-12-31	$18,004,841
Participant contributions at beginning of year	2010-12-31	$14,936,782
Participant contributions at end of year	2010-12-31	$63,018
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$35,972,468
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$29,557,721
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$1,724,878
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$1,690,248
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$1,344,072
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$2,436,284
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$2,949,444
Administrative expenses (other) incurred	2010-12-31	$691,954
Total non interest bearing cash at end of year	2010-12-31	$29,646
Total non interest bearing cash at beginning of year	2010-12-31	$129,801
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$48,038,282
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$1,614,164,730
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$1,404,810,170
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$665,415
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$440,512,050
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$546,887,554
Value of interest in pooled separate accounts at end of year	2010-12-31	$13,624,117
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$13,315,588
Interest on participant loans	2010-12-31	$980,767
Interest earned on other investments	2010-12-31	$10,254,300
Income. Interest from corporate debt instruments	2010-12-31	$335
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$0
Value of interest in common/collective trusts at end of year	2010-12-31	$375,067,040
Value of interest in common/collective trusts at beginning of year	2010-12-31	$113,696,160
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$128,251,098
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$78,230,947
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$78,230,947
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$307,051
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$485,827,339
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$528,302,130
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$134,066,666
Net investment gain or loss from common/collective trusts	2010-12-31	$3,215,739
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$114,825,671
Assets. Invements in employer securities at beginning of year	2010-12-31	$81,358,859
Contributions received in cash from employer	2010-12-31	$38,015,697
Employer contributions (assets) at end of year	2010-12-31	$2,733,478
Income. Dividends from preferred stock	2010-12-31	$780
Income. Dividends from common stock	2010-12-31	$5,950,646
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$187,135,801
Contract administrator fees	2010-12-31	$988,266
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	2010-12-31	Yes
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$6,680,832
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	KPMG LLP
Accountancy firm EIN	2010-12-31	135565207
2009 : RAI 401K SAVINGS PLAN 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

Form 5500 Responses for RAI 401K SAVINGS PLAN

2022: RAI 401K SAVINGS PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: RAI 401K SAVINGS PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: RAI 401K SAVINGS PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: RAI 401K SAVINGS PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: RAI 401K SAVINGS PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: RAI 401K SAVINGS PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: RAI 401K SAVINGS PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
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 – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: RAI 401K SAVINGS PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
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 funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: RAI 401K SAVINGS PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
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 – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: RAI 401K SAVINGS 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	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 – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: RAI 401K SAVINGS 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: RAI 401K SAVINGS PLAN 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 - Trust	Yes
2010: RAI 401K SAVINGS PLAN 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 - Trust	Yes
2009: RAI 401K SAVINGS PLAN 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 - Trust	Yes

Insurance Providers Used on plan

NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract number	GA34350
Policy instance	3
Insurance contract or identification number GA34350 Insurance policy start date 2015-01-01 Insurance policy end date 2015-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number	32550
Policy instance	2
Insurance contract or identification number 32550 Insurance policy start date 2015-01-01 Insurance policy end date 2015-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number	32495
Policy instance	1
Insurance contract or identification number 32495 Insurance policy start date 2015-01-01 Insurance policy end date 2015-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number	32550
Policy instance	3
Insurance contract or identification number 32550 Insurance policy start date 2014-01-01 Insurance policy end date 2014-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract number	GA34350
Policy instance	1
Insurance contract or identification number GA34350 Insurance policy start date 2014-01-01 Insurance policy end date 2014-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number	32495
Policy instance	2
Insurance contract or identification number 32495 Insurance policy start date 2014-01-01 Insurance policy end date 2014-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number	32495
Policy instance	3
Insurance contract or identification number 32495 Insurance policy start date 2013-01-01 Insurance policy end date 2013-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
AMERICAN GENERAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 60488 )
Policy contract number	1635559
Policy instance	4
Insurance contract or identification number 1635559 Insurance policy start date 2013-01-01 Insurance policy end date 2013-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract number	GA34350
Policy instance	5
Insurance contract or identification number GA34350 Insurance policy start date 2013-01-01 Insurance policy end date 2013-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number	32550
Policy instance	6
Insurance contract or identification number 32550 Insurance policy start date 2013-01-01 Insurance policy end date 2013-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
NATIXIS FINANCIAL PRODUCTS (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	1184-04
Policy instance	1
Insurance contract or identification number 1184-04 Insurance policy start date 2013-01-01 Insurance policy end date 2013-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )
Policy contract number	063102
Policy instance	7
Insurance contract or identification number 063102 Insurance policy start date 2013-01-01 Insurance policy end date 2013-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
ING USA ANNUITY AND LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	60384
Policy instance	2
Insurance contract or identification number 60384 Insurance policy start date 2013-01-01 Insurance policy end date 2013-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
NATIXIS FINANCIAL PRODUCTS (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	1184-04
Policy instance	6
Insurance contract or identification number 1184-04 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number	32550
Policy instance	15
Insurance contract or identification number 32550 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
MONUMENTAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66281 )
Policy contract number	MDA00462TR
Policy instance	14
Insurance contract or identification number MDA00462TR Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
BANK OF AMERICA (National Association of Insurance Commissioners NAIC id number: 11292 )
Policy contract number	02-087
Policy instance	1
Insurance contract or identification number 02-087 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
MONUMENTAL LIFE (National Association of Insurance Commissioners NAIC id number: 66281 )
Policy contract number	MDA00598TR
Policy instance	2
Insurance contract or identification number MDA00598TR Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
JPMORGAN CHASE BANK (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	ABNW05
Policy instance	3
Insurance contract or identification number ABNW05 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
UBS AG (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	2481
Policy instance	4
Insurance contract or identification number 2481 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract number	GA34350
Policy instance	5
Insurance contract or identification number GA34350 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
RABOBANK NEDERLAND (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	RJR030301
Policy instance	7
Insurance contract or identification number RJR030301 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
ING USA ANNUITY AND LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	60384
Policy instance	8
Insurance contract or identification number 60384 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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? No Health Insurance Welfare Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
ROYAL BANK OF CANADA (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	ABNRJR01
Policy instance	9
Insurance contract or identification number ABNRJR01 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number	32495
Policy instance	10
Insurance contract or identification number 32495 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
BANK OF AMERICA (National Association of Insurance Commissioners NAIC id number: 11292 )
Policy contract number	01-246
Policy instance	11
Insurance contract or identification number 01-246 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
UBS AG (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	3096
Policy instance	13
Insurance contract or identification number 3096 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
JP MORGAN CHASE BANK, N.A. (National Association of Insurance Commissioners NAIC id number: 0000 )
Policy contract number	427522
Policy instance	12
Insurance contract or identification number 427522 Insurance policy start date 2012-01-01 Insurance policy end date 2012-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
UBS AG (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	3096
Policy instance	7
Insurance contract or identification number 3096 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
JPMORGAN CHASE BANK (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	ABNW05
Policy instance	6
Insurance contract or identification number ABNW05 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
STATE STREET BANK & TRUST COMPANY (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	102040
Policy instance	5
Insurance contract or identification number 102040 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
JP MORGAN CHASE BANK, N.A. (National Association of Insurance Commissioners NAIC id number: 0000 )
Policy contract number	427522
Policy instance	4
Insurance contract or identification number 427522 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
BANK OF AMERICA (National Association of Insurance Commissioners NAIC id number: 11292 )
Policy contract number	02-087
Policy instance	3
Insurance contract or identification number 02-087 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
UBS AG (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	2481
Policy instance	2
Insurance contract or identification number 2481 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
ROYAL BANK OF CANADA (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	ABNRJR01
Policy instance	8
Insurance contract or identification number ABNRJR01 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract number	GA34350
Policy instance	10
Insurance contract or identification number GA34350 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
BANK OF AMERICA (National Association of Insurance Commissioners NAIC id number: 11292 )
Policy contract number	01-246
Policy instance	11
Insurance contract or identification number 01-246 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
MONUMENTAL LIFE (National Association of Insurance Commissioners NAIC id number: 66281 )
Policy contract number	MDA00598TR
Policy instance	12
Insurance contract or identification number MDA00598TR Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number	32495
Policy instance	13
Insurance contract or identification number 32495 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )
Policy contract number	32550
Policy instance	14
Insurance contract or identification number 32550 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
MONUMENTAL LIFE (National Association of Insurance Commissioners NAIC id number: 66281 )
Policy contract number	MDA00462TR
Policy instance	15
Insurance contract or identification number MDA00462TR Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
NATIXIS FINANCIAL PRODUCTS (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	1184-04
Policy instance	16
Insurance contract or identification number 1184-04 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract number	GA34247002
Policy instance	1
Insurance contract or identification number GA34247002 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
RABOBANK NEDERLAND (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	RJR030301
Policy instance	9
Insurance contract or identification number RJR030301 Insurance policy start date 2011-01-01 Insurance policy end date 2011-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
MONUMENTAL LIFE (National Association of Insurance Commissioners NAIC id number: 66281 )
Policy contract number	MDA00598TR
Policy instance	15
Insurance contract or identification number MDA00598TR Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
MONUMENTAL LIFE (National Association of Insurance Commissioners NAIC id number: 66281 )
Policy contract number	MDA00462TR
Policy instance	3
Insurance contract or identification number MDA00462TR Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
STATE STREET BANK & TRUST COMPANY (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	102040
Policy instance	4
Insurance contract or identification number 102040 Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
JP MORGAN CHASE BANK, N.A. (National Association of Insurance Commissioners NAIC id number: 0000 )
Policy contract number	427522
Policy instance	5
Insurance contract or identification number 427522 Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
RABOBANK NEDERLAND (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	RJR030301
Policy instance	6
Insurance contract or identification number RJR030301 Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
ROYAL BANK OF CANADA (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	ABNRJR01
Policy instance	7
Insurance contract or identification number ABNRJR01 Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
JPMORGAN CHASE BANK (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	ABNW05
Policy instance	2
Insurance contract or identification number ABNW05 Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
UBS AG (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	2481
Policy instance	8
Insurance contract or identification number 2481 Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
BANK OF AMERICA (National Association of Insurance Commissioners NAIC id number: 11292 )
Policy contract number	01-246
Policy instance	9
Insurance contract or identification number 01-246 Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract number	GA34247002
Policy instance	10
Insurance contract or identification number GA34247002 Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
NATIXIS FINANCIAL PRODUCTS (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	1184-04
Policy instance	11
Insurance contract or identification number 1184-04 Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
UBS AG (National Association of Insurance Commissioners NAIC id number: 00000 )
Policy contract number	3096
Policy instance	12
Insurance contract or identification number 3096 Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
NEW YORK LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66915 )
Policy contract number	GA34247
Policy instance	13
Insurance contract or identification number GA34247 Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 1 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? No Health Insurance Welfare Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
MUTUAL OF OMAHA (National Association of Insurance Commissioners NAIC id number: 69868 )
Policy contract number	SDGA 12966
Policy instance	14
Insurance contract or identification number SDGA 12966 Insurance policy start date 2010-01-01 Insurance policy end date 2010-06-08 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No
BANK OF AMERICA (National Association of Insurance Commissioners NAIC id number: 11292 )
Policy contract number	02-087
Policy instance	1
Insurance contract or identification number 02-087 Insurance policy start date 2010-01-01 Insurance policy end date 2010-12-31 Total amount of commissions paid to insurance broker USD $0 Total amount of fees paid to insurance company USD $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 plan No Contracts With Unallocated Funds Deposit Administration 0 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 Benefit No Dental Insurance Welfare Benefit No Vision Insurance Welfare Benefit No Life Insurance Welfare Benefit No Temporary Disability Insurance Welfare Benefit No Long Term Disability Insurance Welfare Benefit No Unemployment Insurance Welfare Benefit No Were dividends or retroactive rate refunds paid in cash? No Were dividends or retroactive rate refunds paid as a credit? No