401k Plan data: JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN plan

JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	003

JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Stock bonus
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).
Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

JEFFERSON NATIONAL FINANCIAL CORP. has sponsored the creation of one or more 401k plans.

Company Name: JEFFERSON NATIONAL FINANCIAL CORP.

Employer identification number (EIN): 203289512

NAIC Classification: 551112
NAIC Description: Offices of Other Holding Companies

Form 5500 Filing Information

Submission information for form 5500 for 401k plan JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2013-01-01 JANE GELMAN CRAIG HAWLEY 2014-05-12
003 2012-01-01 JANE GELMAN CRAIG HAWLEY 2013-04-19
003 2011-01-01 JANE GELMAN CRAIG HAWLEY 2012-10-08
003 2009-01-01 COURTNEY W. ERICKSON CRAIG A. HAWLEY 2010-10-12

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2013-01-01	JANE GELMAN	CRAIG HAWLEY	2014-05-12
003	2012-01-01	JANE GELMAN	CRAIG HAWLEY	2013-04-19
003	2011-01-01	JANE GELMAN	CRAIG HAWLEY	2012-10-08
003	2009-01-01	COURTNEY W. ERICKSON	CRAIG A. HAWLEY	2010-10-12

Plan Statistics for JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2013: JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 87
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 0
Number of participants with account balances 2013-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 84
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 55
Number of retired or separated participants receiving benefits 2012-01-01 32
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 87
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 87
Number of participants with account balances 2012-01-01 83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 69
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 57
Number of retired or separated participants receiving benefits 2011-01-01 4
Number of other retired or separated participants entitled to future benefits 2011-01-01 22
Total of all active and inactive participants 2011-01-01 83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 83
Number of participants with account balances 2011-01-01 83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 76
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 54
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 11
Total of all active and inactive participants 2009-01-01 65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 65
Number of participants with account balances 2009-01-01 65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 7

Measure	Date	Value
2013: JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	87
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	0
Number of participants with account balances	2013-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	84
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	55
Number of retired or separated participants receiving benefits	2012-01-01	32
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	87
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	87
Number of participants with account balances	2012-01-01	83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	69
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	57
Number of retired or separated participants receiving benefits	2011-01-01	4
Number of other retired or separated participants entitled to future benefits	2011-01-01	22
Total of all active and inactive participants	2011-01-01	83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	83
Number of participants with account balances	2011-01-01	83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	76
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	54
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	11
Total of all active and inactive participants	2009-01-01	65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	65
Number of participants with account balances	2009-01-01	65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	7

Financial Data on JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2013 : JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Transfers to/from the plan	2013-10-31	$0
Total plan liabilities at end of year	2013-10-31	$0
Total plan liabilities at beginning of year	2013-10-31	$0
Total income from all sources	2013-10-31	$565
Expenses. Total of all expenses incurred	2013-10-31	$298,783
Benefits paid (including direct rollovers)	2013-10-31	$298,783
Total plan assets at end of year	2013-10-31	$0
Total plan assets at beginning of year	2013-10-31	$298,218
Value of fidelity bond covering the plan	2013-10-31	$1,000,000
Total contributions received or receivable from participants	2013-10-31	$0
Expenses. Other expenses not covered elsewhere	2013-10-31	$0
Contributions received from other sources (not participants or employers)	2013-10-31	$0
Other income received	2013-10-31	$565
Noncash contributions received	2013-10-31	$0
Net income (gross income less expenses)	2013-10-31	$-298,218
Net plan assets at end of year (total assets less liabilities)	2013-10-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2013-10-31	$298,218
Value of loans by the plan or fixed income obligations due to the plan which were in default or classified as uncollectible at the close of the plan year	2013-10-31	$0
Value of leases to which the plan was a party in default or classified as uncollectible during the plan year	2013-10-31	$0
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2013-10-31	$0
Assets. Value of employer securities	2013-10-31	$0
Total contributions received or receivable from employer(s)	2013-10-31	$0
Value of certain deemed distributions of participant loans	2013-10-31	$0
Value of corrective distributions	2013-10-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-10-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-10-31	$0
2012 : JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$3,910,042
Total income from all sources	2012-12-31	$1,814
Expenses. Total of all expenses incurred	2012-12-31	$296,404
Benefits paid (including direct rollovers)	2012-12-31	$296,404
Total plan assets at end of year	2012-12-31	$298,218
Total plan assets at beginning of year	2012-12-31	$4,502,850
Value of fidelity bond covering the plan	2012-12-31	$1,000,000
Total contributions received or receivable from participants	2012-12-31	$0
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Contributions received from other sources (not participants or employers)	2012-12-31	$0
Other income received	2012-12-31	$1,814
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$-294,590
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$298,218
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$592,808
Value of loans by the plan or fixed income obligations due to the plan which were in default or classified as uncollectible at the close of the plan year	2012-12-31	$0
Value of leases to which the plan was a party in default or classified as uncollectible during the plan year	2012-12-31	$0
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2012-12-31	$0
Assets. Value of employer securities	2012-12-31	$0
Total contributions received or receivable from employer(s)	2012-12-31	$0
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at end of year	2011-12-31	$3,910,042
Total plan liabilities at beginning of year	2011-12-31	$4,140,000
Total income from all sources	2011-12-31	$1,190,412
Expenses. Total of all expenses incurred	2011-12-31	$16,322
Benefits paid (including direct rollovers)	2011-12-31	$4,209
Total plan assets at end of year	2011-12-31	$4,502,850
Total plan assets at beginning of year	2011-12-31	$3,558,718
Value of fidelity bond covering the plan	2011-12-31	$10,000,000
Total contributions received or receivable from participants	2011-12-31	$0
Expenses. Other expenses not covered elsewhere	2011-12-31	$12,113
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$948,299
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$1,174,090
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$592,808
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$-581,282
Value of loans by the plan or fixed income obligations due to the plan which were in default or classified as uncollectible at the close of the plan year	2011-12-31	$0
Value of leases to which the plan was a party in default or classified as uncollectible during the plan year	2011-12-31	$0
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2011-12-31	$0
Assets. Value of employer securities	2011-12-31	$4,323,517
Total contributions received or receivable from employer(s)	2011-12-31	$242,113
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$4,140,000
Total plan liabilities at beginning of year	2010-12-31	$4,370,525
Total income from all sources	2010-12-31	$555,749
Expenses. Total of all expenses incurred	2010-12-31	$17,691
Benefits paid (including direct rollovers)	2010-12-31	$3,461
Total plan assets at end of year	2010-12-31	$3,558,718
Total plan assets at beginning of year	2010-12-31	$3,251,185
Value of fidelity bond covering the plan	2010-12-31	$10,000,000
Total contributions received or receivable from participants	2010-12-31	$0
Expenses. Other expenses not covered elsewhere	2010-12-31	$14,230
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$311,519
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$538,058
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$-581,282
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$-1,119,340
Value of loans by the plan or fixed income obligations due to the plan which were in default or classified as uncollectible at the close of the plan year	2010-12-31	$0
Value of leases to which the plan was a party in default or classified as uncollectible during the plan year	2010-12-31	$0
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2010-12-31	$0
Assets. Value of employer securities	2010-12-31	$3,536,951
Total contributions received or receivable from employer(s)	2010-12-31	$244,230
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP 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 JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN

2013: JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	This submission is the final filing	Yes
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: JEFFERSON NATIONAL FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	JEFFERSON NATIONAL FINANCIAL CORP.
Employer identification number (EIN):	203289512
NAIC Classification:	551112
NAIC Description:	Offices of Other Holding Companies