401k Plan data: ETHICS POINT 401K PLAN plan

ETHICS POINT 401K PLAN 401k Plan overview

Plan Name	ETHICS POINT 401K PLAN
Plan identification number	001

ETHICS POINT 401K 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.
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.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

ETHICSPOINT, INC. has sponsored the creation of one or more 401k plans.

Company Name: ETHICSPOINT, INC.

Employer identification number (EIN): 912082288

NAIC Classification: 541600

Additional information about ETHICSPOINT, INC.

Jurisdiction of Incorporation: Washington Secretary of State Corporations Division

Incorporation Date: 2000-09-29

Company Identification Number: 602069405

Legal Registered Office Address: 711 CAPITOL WAY S STE 204

OLYMPIA
United States of America (USA)
985011267

More information about ETHICSPOINT, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ETHICS POINT 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2011-01-01 JACKSON BENTLEY
001 2010-01-01 TODD HENNE
001 2009-01-01 TODD HENNE

Plan id#	Filing Submission Date	Name of Administrator
001	2011-01-01	JACKSON BENTLEY
001	2010-01-01	TODD HENNE
001	2009-01-01	TODD HENNE

Plan Statistics for ETHICS POINT 401K PLAN

401k plan membership statisitcs for ETHICS POINT 401K PLAN

Measure Date Value
2011: ETHICS POINT 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 201
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 172
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 32
Total of all active and inactive participants 2011-01-01 204
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 204
Number of participants with account balances 2011-01-01 174
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 5
2010: ETHICS POINT 401K PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 180
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 160
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 41
Total of all active and inactive participants 2010-01-01 201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 201
Number of participants with account balances 2010-01-01 152
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 5
2009: ETHICS POINT 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 131
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 144
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 28
Total of all active and inactive participants 2009-01-01 172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 172
Number of participants with account balances 2009-01-01 120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 8

Measure	Date	Value
2011: ETHICS POINT 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	201
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	172
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	32
Total of all active and inactive participants	2011-01-01	204
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	204
Number of participants with account balances	2011-01-01	174
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	5
2010: ETHICS POINT 401K PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	180
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	160
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	41
Total of all active and inactive participants	2010-01-01	201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	201
Number of participants with account balances	2010-01-01	152
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	5
2009: ETHICS POINT 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	131
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	144
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	28
Total of all active and inactive participants	2009-01-01	172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	172
Number of participants with account balances	2009-01-01	120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	8

Financial Data on ETHICS POINT 401K PLAN

Measure	Date	Value
2012 : ETHICS POINT 401K PLAN 2012 401k financial data
Total transfer of assets from this plan	2012-12-31	$5,499,163
Total income from all sources (including contributions)	2012-12-31	$1,805,834
Total of all expenses incurred	2012-12-31	$729,524
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$728,112
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,221,456
Value of total assets at end of year	2012-12-31	$0
Value of total assets at beginning of year	2012-12-31	$4,422,853
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$1,412
Total interest from all sources	2012-12-31	$2,104
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$143,437
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$143,437
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$748,776
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$69,869
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$32,376
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$31,711
Administrative expenses (other) incurred	2012-12-31	$1,412
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$1,076,310
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$4,422,853
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$3,991,097
Interest on participant loans	2012-12-31	$2,092
Value of interest in common/collective trusts at end of year	2012-12-31	$0
Value of interest in common/collective trusts at beginning of year	2012-12-31	$257,127
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$43,943
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$43,943
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$12
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$444,220
Net investment gain or loss from common/collective trusts	2012-12-31	$-5,383
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$440,969
Employer contributions (assets) at end of year	2012-12-31	$0
Employer contributions (assets) at beginning of year	2012-12-31	$28,441
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$728,112
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	Yes
Accountancy firm name	2012-12-31	MCGLADREY, & PULLEN LLP
Accountancy firm EIN	2012-12-31	420714325
2011 : ETHICS POINT 401K PLAN 2011 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$1,229,394
Total of all expenses incurred	2011-12-31	$334,072
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$332,306
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,370,824
Value of total assets at end of year	2011-12-31	$4,422,853
Value of total assets at beginning of year	2011-12-31	$3,527,531
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$1,766
Total interest from all sources	2011-12-31	$2,748
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$149,334
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$149,334
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	Yes
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	$719,118
Participant contributions at end of year	2011-12-31	$69,869
Participant contributions at beginning of year	2011-12-31	$28,543
Participant contributions at end of year	2011-12-31	$32,376
Participant contributions at beginning of year	2011-12-31	$29,751
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$199,770
Other income not declared elsewhere	2011-12-31	$-198
Administrative expenses (other) incurred	2011-12-31	$1,766
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	$895,322
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$4,422,853
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$3,527,531
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$3,991,097
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$3,337,486
Interest on participant loans	2011-12-31	$2,745
Value of interest in common/collective trusts at end of year	2011-12-31	$257,127
Value of interest in common/collective trusts at beginning of year	2011-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$43,943
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$108,432
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$108,432
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$3
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-303,132
Net investment gain or loss from common/collective trusts	2011-12-31	$9,818
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$451,936
Employer contributions (assets) at end of year	2011-12-31	$28,441
Employer contributions (assets) at beginning of year	2011-12-31	$23,319
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$332,306
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	Yes
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	GEFFEN MESHER AND CO
Accountancy firm EIN	2011-12-31	931042710
2010 : ETHICS POINT 401K PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$1,709,093
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$63,556
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$61,679
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,364,540
Value of total assets at end of year	2010-12-31	$3,527,531
Value of total assets at beginning of year	2010-12-31	$1,881,994
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$1,877
Total interest from all sources	2010-12-31	$1,387
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$49,743
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$49,743
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
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	$609,291
Participant contributions at end of year	2010-12-31	$28,543
Participant contributions at beginning of year	2010-12-31	$18,822
Participant contributions at end of year	2010-12-31	$29,751
Participant contributions at beginning of year	2010-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$394,941
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	$1,645,537
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$3,527,531
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$1,881,994
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	$1,877
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$3,337,486
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$1,807,210
Interest on participant loans	2010-12-31	$1,387
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$108,432
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$55,962
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$55,962
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$293,423
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
Contributions received in cash from employer	2010-12-31	$360,308
Employer contributions (assets) at end of year	2010-12-31	$23,319
Employer contributions (assets) at beginning of year	2010-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$61,679
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
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	GEFFEN MESHER AND CO
Accountancy firm EIN	2010-12-31	931042710
2009 : ETHICS POINT 401K 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 ETHICS POINT 401K PLAN

2011: ETHICS POINT 401K 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 funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: ETHICS POINT 401K 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 – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: ETHICS POINT 401K 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	ETHICSPOINT, INC.
Employer identification number (EIN):	912082288
NAIC Classification:	541600

Jurisdiction of Incorporation:	Washington Secretary of State Corporations Division
Incorporation Date:	2000-09-29
Company Identification Number:	602069405
Legal Registered Office Address:	711 CAPITOL WAY S STE 204 OLYMPIA United States of America (USA) 985011267