Filing PDF's

Filing PDF's

Filing PDF's provides access to electronic documents stored by the NAIC for a specific filing. A printable version of a company's data as filed is available. In addition, electronic access to free-form text portions of the annual statement filing (Write-Ins) are available. These include SVO Compliance, Statement of Actuarial Opinion, Management Discussion and Analysis and Annual Audited Financial Statements.

The Filing PDF's reports are in Adobe PDF format. To view the reports you must have the Adobe Acrobat Reader installed on your PC. You can download the reader from the Downloads page available from the I-SITE Login Page. The Filing PDFs application is available for the 1999 data year and forward for "small" business types: HMO, HMDI, Fraternal and Title. These reports are also available for Life and Property companies for data year of 2000 and forward.

To View the Filing PDFs using the iSite+ Reports page  

Search for an entity or entities by performing a Company/Firm Search.
  • Highlight which entity/entities you want reports on.
  • Go to the Report Categories screen.
  • Click the Filing PDFs link under the Financial section.
  1. At the top of the Filing PDFs page, information about the selected company is displayed. The following information is included. (NOTE: See the Glossary for definitions of unfamiliar terms.)
  • Company name
  • NAIC Company Code (Cocode)
  • Federal Employer Identification Number (FEIN)
  • Year
  • Business Type
  • NAIC Group Code
  • Status
  • Domicile
  • Nationally Significant
  • Risk-Based Capital (RBC) Ratio
  1. Select the year to view documents from the Year drop-down list.
  2. Select the filing period to view documents from the Filing Period drop-down list. Filing periods include:
  • All
  • Filings Due March 1
  • Filings Due April 1
  • Filings Due June 1

 

 

  • Click the Go button to the right of the Filing Period drop-down list to view documents for the selected year and filing period.
  • Available documents may include the Statement, the Statement of Actuarial Opinion, Management's Discussion and Analysis, Audited Financial Information, and the Securities Valuation Office Compliance Certification.

 

     

    In addition, each document may have one or more of the following classifications:

  • Original

  • Amended

  • Re-file

    • March Statement - the company's annual financial statement. The statement is broken down into three parts. By dividing these filings into sections, the files are easier to organize and locate, and are smaller in size, so that they take less time to download. They are:

    • Key annual statement schedules
    • Annual statement investment schedules
    • Other annual statement schedules
    • Non-Guaranteed Elements
    • Accident and Health Policy Experience Exhibit (April)-I

 

 

    The schedules that are to be included in the Key Annual Statement Schedules PDF File are as follows: (The numbers indicate the Blanks pages on which these schedules are located.)

    1) Property

    • Jurat (1)

    • Assets (2)

    • Liabilities, Surplus and Other Funds (3)

    • Underwriting and Investment Exhibit - Statement of Income (4)

    • Cash Flow (5)

    • Underwriting and Investment Exhibit - Part 1 through Part 4 (6 through 12)

    • Exhibit 1 - Analysis of Nonadmitted Assets and Related Items (13)

    • Notes to Financial Statements (14)

    • Summary Investment Schedule (15)

    • General Interrogatories - Part 1 and Part 2 (16 through 21)

    • Five-Year Historical Data (22 and 23)

    • Schedule D - Summary by Country (26)

    • Schedule D - Verification Between Years (26)

    • Schedule P Summary - Part 1 through Part 4 (49 and 50)

    • Schedule Y - Part 1 - Organizational Chart (108)

    • Schedule T - Exhibit of Premiums Written (110)

     

     

    2) Life

    • Jurat (1)

    • Assets (2)

    • Liabilities, Surplus and Other Funds (3)

    • Summary of Operations (4)

    • Cash Flow (5)

    • Analysis of Operations by Lines of Business (6)

    • Analysis of Increase in Reserves During the Year (7)

    • Exhibit 1 through Exhibit 12 (8 through 19)

    • Notes to Financial Statements (20)

    • Summary Investment Schedule (21)

    • General Interrogatories - Part 1 and Part 2 (22 through 26)

    • Five-Year Historical Data (27 and 28)

    • Exhibit of Life Insurance (30 through 32)

    • Schedule D - Summary by Country (42)

    • Schedule D - Verification Between Years (42)

    • Schedule Y - Part 1 - Organizational Chart (68)

    • Schedule T - Premiums and Annuity Considerations (70)

     

     

    3) Health

    • Jurat (1)

    • Assets (2)

    • Liabilities, Capital and Surplus (3)

    • Statement of Revenue and Expenses (4 and 5)

    • Cash Flow (6)

    • Analysis of Operations by Lines of Business (7)

    • Underwriting and Investment Exhibit - Part 1 through Part 4A (8 through 15)

    • Exhibit 1 - Analysis of Nonadmitted Assets and Related Items (16)

    • Exhibit 2 - Enrollment by Product Type (17)

    • Notes to Financial Statements (25)

    • Summary Investment Schedule (26)

    • General Interrogatories - Part 1 and Part 2 (27 through 31)

    • Five-Year Historical Data (32 and 33)

    • Schedule D - Summary by Country (36)

    • Schedule D - Verification Between Years (36)

    • Schedule Y - Part 1 - Organizational Chart (54)

    • Schedule T - Premiums and Other Considerations (56)

     

     

    4) Fraternal

    • Jurat (1)

    • Assets (2)

    • Liabilities, Surplus and Other Funds (3)

    • Summary of Operations (4)

    • Cash Flow (5)

    • Analysis of Operations by Lines of Business (6)

    • Analysis of Increase in Reserves During the Year (7)

    • Exhibit 1 through Exhibit 12 (8 through 18)

    • Notes to Financial Statements (19)

    • Summary Investment Schedule (20)

    • General Interrogatories - Part 1 and Part 2 (21 through 26)

    • Five-Year Historical Data (27 and 28)

    • Exhibit of Life Insurance (30)

    • Schedule D - Summary by Country (40)

    • Schedule D - Verification Between Years (40)

    • Schedule Y - Part 1 - Organizational Chart (64)

    • Schedule T - Distribution of Business by States and Territories (66)

     

     

    5) Title

    • Jurat (1)

    •  Assets (2)

    •  Liabilities, Surplus and Other Funds (3) 

    • Operations and Investment Exhibit - Statement of Income (4

    • Cash Flow (5)

    • Operations and Investment Exhibit - Part 1 through Part 5 (6 through 11)

    •  Exhibit 1 - Analysis of Nonadmitted Assets and Related Items (12)

    •  Notes to Financial Statements (13)

    •  Summary Investment Schedule (14)

    •  General Interrogatories - Part 1 and Part 2 (15 through 19)

    •  Five-Year Historical Data (20 and 21)

    • Schedule D - Summary by Country (23)

    •  Schedule D - Verification Between Years (23)

    •  Schedule P - Part 1 - Summary (47)

    •  Schedule Y - Part 1 - Organizational Chart (55)

    •  Schedule T - Exhibit of Premiums Written (57)

     

    6) Life Separate Accounts

    •  Jurat (1)

    •  Assets (2)

    •  Liabilities and Surplus (3)

    •  Summary of Operations (4)

    • Analysis of Operations by Lines of Business (5)

    • Analysis of Increase in Reserves During the Year (6)

    • Exhibit 1 through Exhibit 9 (6 through 12)

    •  Schedule D - Summary by Country (21)

    •  Schedule D - Verification Between Years (21)

     
  • To view a specific document for the selected data year and filing period, click the link for the document. 
  • Select "Open File" in the dialog box. The document will display in Adobe PDF format. (NOTE: Adobe Acrobat Reader must be installed on your computer to view documents. 
  • Select "Save To Disk" to download. As these documents are very large, download time can be lengthy.
  • To print or save a document, use the print and save commands within the Adobe Acrobat Reader.
  • To close the Filing PDFs application, click the close (X) button in the upper right corner of the report window or select the Close option from the File menu at the top of the window.