401k Plan data: THE SPENCER TURBINE COMPANY 401(K) PLAN plan

THE SPENCER TURBINE COMPANY 401(K) PLAN 401k Plan overview

Plan Name	THE SPENCER TURBINE COMPANY 401(K) PLAN
Plan identification number	003

THE SPENCER TURBINE COMPANY 401(K) 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.
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

THE SPENCER TURBINE COMPANY has sponsored the creation of one or more 401k plans.

Company Name: THE SPENCER TURBINE COMPANY

Employer identification number (EIN): 060544750

NAIC Classification: 333200

Additional information about THE SPENCER TURBINE COMPANY

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 2016-08-15

Company Identification Number: 3206128300

Legal Registered Office Address: 600 DAY HILL RD

WINDSOR
United States of America (USA)
06095

More information about THE SPENCER TURBINE COMPANY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE SPENCER TURBINE COMPANY 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2016-01-01 KATHI FENNY
003 2015-01-01 MICHELLE TENCZAR
003 2014-01-01 MICHELLE TENCZAR
003 2013-01-01 KATHI FENNY
003 2012-01-01 MICHELLE TENCZAR KATHI FENNY 2013-07-25
003 2011-01-01 MICHELLE TENCZAR KATHI FENNY 2012-07-18
003 2010-01-01 MICHELLE TENCZAR
003 2009-01-01 MICHELLE TENCZAR 2010-07-06
003 2009-01-01 MICHELLE TENCZAR

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2016-01-01	KATHI FENNY
003	2015-01-01	MICHELLE TENCZAR
003	2014-01-01	MICHELLE TENCZAR
003	2013-01-01	KATHI FENNY
003	2012-01-01	MICHELLE TENCZAR	KATHI FENNY	2013-07-25
003	2011-01-01	MICHELLE TENCZAR	KATHI FENNY	2012-07-18
003	2010-01-01	MICHELLE TENCZAR
003	2009-01-01		MICHELLE TENCZAR	2010-07-06
003	2009-01-01	MICHELLE TENCZAR

Plan Statistics for THE SPENCER TURBINE COMPANY 401(K) PLAN

401k plan membership statisitcs for THE SPENCER TURBINE COMPANY 401(K) PLAN

Measure Date Value
2016: THE SPENCER TURBINE COMPANY 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 169
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: THE SPENCER TURBINE COMPANY 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 172
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 152
Number of retired or separated participants receiving benefits 2015-01-01 2
Number of other retired or separated participants entitled to future benefits 2015-01-01 15
Total of all active and inactive participants 2015-01-01 169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 169
Number of participants with account balances 2015-01-01 143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: THE SPENCER TURBINE COMPANY 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 139
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 163
Number of retired or separated participants receiving benefits 2014-01-01 2
Number of other retired or separated participants entitled to future benefits 2014-01-01 7
Total of all active and inactive participants 2014-01-01 172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 172
Number of participants with account balances 2014-01-01 143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: THE SPENCER TURBINE COMPANY 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 154
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 129
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 10
Total of all active and inactive participants 2013-01-01 139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 139
Number of participants with account balances 2013-01-01 113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: THE SPENCER TURBINE COMPANY 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 148
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 139
Number of retired or separated participants receiving benefits 2012-01-01 2
Number of other retired or separated participants entitled to future benefits 2012-01-01 11
Total of all active and inactive participants 2012-01-01 152
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 2
Total participants 2012-01-01 154
Number of participants with account balances 2012-01-01 123
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: THE SPENCER TURBINE COMPANY 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 148
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 130
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 15
Total of all active and inactive participants 2011-01-01 146
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 2
Total participants 2011-01-01 148
Number of participants with account balances 2011-01-01 123
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: THE SPENCER TURBINE COMPANY 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 147
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 132
Number of retired or separated participants receiving benefits 2010-01-01 1
Number of other retired or separated participants entitled to future benefits 2010-01-01 14
Total of all active and inactive participants 2010-01-01 147
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 1
Total participants 2010-01-01 148
Number of participants with account balances 2010-01-01 126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: THE SPENCER TURBINE COMPANY 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 161
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 131
Number of retired or separated participants receiving benefits 2009-01-01 1
Number of other retired or separated participants entitled to future benefits 2009-01-01 15
Total of all active and inactive participants 2009-01-01 147
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 147
Number of participants with account balances 2009-01-01 131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2016: THE SPENCER TURBINE COMPANY 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	169
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: THE SPENCER TURBINE COMPANY 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	172
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	152
Number of retired or separated participants receiving benefits	2015-01-01	2
Number of other retired or separated participants entitled to future benefits	2015-01-01	15
Total of all active and inactive participants	2015-01-01	169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	169
Number of participants with account balances	2015-01-01	143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: THE SPENCER TURBINE COMPANY 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	139
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	163
Number of retired or separated participants receiving benefits	2014-01-01	2
Number of other retired or separated participants entitled to future benefits	2014-01-01	7
Total of all active and inactive participants	2014-01-01	172
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	172
Number of participants with account balances	2014-01-01	143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: THE SPENCER TURBINE COMPANY 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	154
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	129
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	10
Total of all active and inactive participants	2013-01-01	139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	139
Number of participants with account balances	2013-01-01	113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: THE SPENCER TURBINE COMPANY 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	148
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	139
Number of retired or separated participants receiving benefits	2012-01-01	2
Number of other retired or separated participants entitled to future benefits	2012-01-01	11
Total of all active and inactive participants	2012-01-01	152
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	2
Total participants	2012-01-01	154
Number of participants with account balances	2012-01-01	123
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: THE SPENCER TURBINE COMPANY 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	148
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	130
Number of retired or separated participants receiving benefits	2011-01-01	1
Number of other retired or separated participants entitled to future benefits	2011-01-01	15
Total of all active and inactive participants	2011-01-01	146
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	2
Total participants	2011-01-01	148
Number of participants with account balances	2011-01-01	123
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: THE SPENCER TURBINE COMPANY 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	147
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	132
Number of retired or separated participants receiving benefits	2010-01-01	1
Number of other retired or separated participants entitled to future benefits	2010-01-01	14
Total of all active and inactive participants	2010-01-01	147
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	1
Total participants	2010-01-01	148
Number of participants with account balances	2010-01-01	126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: THE SPENCER TURBINE COMPANY 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	161
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	131
Number of retired or separated participants receiving benefits	2009-01-01	1
Number of other retired or separated participants entitled to future benefits	2009-01-01	15
Total of all active and inactive participants	2009-01-01	147
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	147
Number of participants with account balances	2009-01-01	131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on THE SPENCER TURBINE COMPANY 401(K) PLAN

Measure	Date	Value
2016 : THE SPENCER TURBINE COMPANY 401(K) PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets	2016-10-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2016-10-31	$0
Total unrealized appreciation/depreciation of assets	2016-10-31	$0
Total transfer of assets to this plan	2016-10-31	$0
Total transfer of assets from this plan	2016-10-31	$14,716,776
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-10-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-10-31	$0
Expenses. Interest paid	2016-10-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2016-10-31	$0
Total income from all sources (including contributions)	2016-10-31	$1,197,816
Total loss/gain on sale of assets	2016-10-31	$0
Total of all expenses incurred	2016-10-31	$4,512,234
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-10-31	$4,510,009
Expenses. Certain deemed distributions of participant loans	2016-10-31	$0
Value of total corrective distributions	2016-10-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-10-31	$598,869
Value of total assets at end of year	2016-10-31	$0
Value of total assets at beginning of year	2016-10-31	$18,031,194
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-10-31	$2,225
Total income from rents	2016-10-31	$0
Total interest from all sources	2016-10-31	$6,918
Total dividends received (eg from common stock, registered investment company shares)	2016-10-31	$201,321
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-10-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-10-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2016-10-31	$201,321
Assets. Real estate other than employer real property at end of year	2016-10-31	$0
Assets. Real estate other than employer real property at beginning of year	2016-10-31	$0
Administrative expenses professional fees incurred	2016-10-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2016-10-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2016-10-31	$0
Was this plan covered by a fidelity bond	2016-10-31	Yes
Value of fidelity bond cover	2016-10-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-10-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-10-31	No
Contributions received from participants	2016-10-31	$581,364
Participant contributions at end of year	2016-10-31	$0
Participant contributions at beginning of year	2016-10-31	$202,473
Participant contributions at end of year	2016-10-31	$0
Participant contributions at beginning of year	2016-10-31	$0
Assets. Other investments not covered elsewhere at end of year	2016-10-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2016-10-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-10-31	$17,505
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-10-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-10-31	$0
Assets. Loans (other than to participants) at end of year	2016-10-31	$0
Assets. Loans (other than to participants) at beginning of year	2016-10-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-10-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-10-31	$0
Other income not declared elsewhere	2016-10-31	$0
Administrative expenses (other) incurred	2016-10-31	$1,263
Liabilities. Value of operating payables at end of year	2016-10-31	$0
Liabilities. Value of operating payables at beginning of year	2016-10-31	$0
Total non interest bearing cash at end of year	2016-10-31	$0
Total non interest bearing cash at beginning of year	2016-10-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-10-31	No
Income. Non cash contributions	2016-10-31	$0
Value of net income/loss	2016-10-31	$-3,314,418
Value of net assets at end of year (total assets less liabilities)	2016-10-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-10-31	$18,031,194
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-10-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-10-31	No
Were any leases to which the plan was party in default or uncollectible	2016-10-31	No
Assets. partnership/joint venture interests at end of year	2016-10-31	$0
Assets. partnership/joint venture interests at beginning of year	2016-10-31	$0
Investment advisory and management fees	2016-10-31	$962
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-10-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-10-31	$16,608,350
Value of interest in pooled separate accounts at end of year	2016-10-31	$0
Value of interest in pooled separate accounts at beginning of year	2016-10-31	$0
Interest on participant loans	2016-10-31	$6,517
Income. Interest from loans (other than to participants)	2016-10-31	$0
Interest earned on other investments	2016-10-31	$0
Income. Interest from US Government securities	2016-10-31	$0
Income. Interest from corporate debt instruments	2016-10-31	$0
Value of interest in master investment trust accounts at end of year	2016-10-31	$0
Value of interest in master investment trust accounts at beginning of year	2016-10-31	$0
Value of interest in common/collective trusts at end of year	2016-10-31	$0
Value of interest in common/collective trusts at beginning of year	2016-10-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-10-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-10-31	$1,134,184
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-10-31	$1,134,184
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-10-31	$401
Assets. Value of investments in 103.12 investment entities at end of year	2016-10-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2016-10-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2016-10-31	$0
Asset value of US Government securities at end of year	2016-10-31	$0
Asset value of US Government securities at beginning of year	2016-10-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-10-31	$390,708
Net investment gain/loss from pooled separate accounts	2016-10-31	$0
Net investment gain or loss from common/collective trusts	2016-10-31	$0
Net gain/loss from 103.12 investment entities	2016-10-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-10-31	No
Was there a failure to transmit to the plan any participant contributions	2016-10-31	No
Has the plan failed to provide any benefit when due under the plan	2016-10-31	No
Assets. Invements in employer securities at end of year	2016-10-31	$0
Assets. Invements in employer securities at beginning of year	2016-10-31	$0
Assets. Value of employer real property at end of year	2016-10-31	$0
Assets. Value of employer real property at beginning of year	2016-10-31	$0
Contributions received in cash from employer	2016-10-31	$0
Employer contributions (assets) at end of year	2016-10-31	$0
Employer contributions (assets) at beginning of year	2016-10-31	$86,187
Income. Dividends from preferred stock	2016-10-31	$0
Income. Dividends from common stock	2016-10-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-10-31	$4,510,009
Asset. Corporate debt instrument preferred debt at end of year	2016-10-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2016-10-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2016-10-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2016-10-31	$0
Contract administrator fees	2016-10-31	$0
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	2016-10-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2016-10-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2016-10-31	$0
Liabilities. Value of benefit claims payable at end of year	2016-10-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2016-10-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2016-10-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2016-10-31	$0
Did the plan have assets held for investment	2016-10-31	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	2016-10-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-10-31	No
Aggregate proceeds on sale of assets	2016-10-31	$0
Aggregate carrying amount (costs) on sale of assets	2016-10-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2016-10-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2016-10-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-10-31	No
Opinion of an independent qualified public accountant for this plan	2016-10-31	Unqualified
Accountancy firm name	2016-10-31	BLUM SHAPIRO & COMPANY
Accountancy firm EIN	2016-10-31	061009205
2015 : THE SPENCER TURBINE COMPANY 401(K) PLAN 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets	2015-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$0
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets to this plan	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Expenses. Interest paid	2015-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$2,140,151
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$1,939,247
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,936,699
Expenses. Certain deemed distributions of participant loans	2015-12-31	$0
Value of total corrective distributions	2015-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,669,603
Value of total assets at end of year	2015-12-31	$18,031,194
Value of total assets at beginning of year	2015-12-31	$17,830,290
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$2,548
Total income from rents	2015-12-31	$0
Total interest from all sources	2015-12-31	$9,285
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$768,934
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$768,934
Assets. Real estate other than employer real property at end of year	2015-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2015-12-31	$0
Administrative expenses professional fees incurred	2015-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2015-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2015-12-31	$0
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$827,097
Participant contributions at end of year	2015-12-31	$202,473
Participant contributions at beginning of year	2015-12-31	$189,317
Participant contributions at end of year	2015-12-31	$0
Participant contributions at beginning of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$728,215
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$0
Assets. Loans (other than to participants) at end of year	2015-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$0
Other income not declared elsewhere	2015-12-31	$0
Administrative expenses (other) incurred	2015-12-31	$1,313
Liabilities. Value of operating payables at end of year	2015-12-31	$0
Liabilities. Value of operating payables at beginning of year	2015-12-31	$0
Total non interest bearing cash at end of year	2015-12-31	$0
Total non interest bearing cash at beginning of year	2015-12-31	$0
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
Income. Non cash contributions	2015-12-31	$0
Value of net income/loss	2015-12-31	$200,904
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$18,031,194
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$17,830,290
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
Assets. partnership/joint venture interests at end of year	2015-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2015-12-31	$0
Investment advisory and management fees	2015-12-31	$1,235
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$16,608,350
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$16,635,743
Value of interest in pooled separate accounts at end of year	2015-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$0
Interest on participant loans	2015-12-31	$9,187
Income. Interest from loans (other than to participants)	2015-12-31	$0
Interest earned on other investments	2015-12-31	$0
Income. Interest from US Government securities	2015-12-31	$0
Income. Interest from corporate debt instruments	2015-12-31	$0
Value of interest in master investment trust accounts at end of year	2015-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2015-12-31	$0
Value of interest in common/collective trusts at end of year	2015-12-31	$0
Value of interest in common/collective trusts at beginning of year	2015-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$1,134,184
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$1,005,230
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$1,005,230
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$98
Assets. Value of investments in 103.12 investment entities at end of year	2015-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2015-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2015-12-31	$0
Asset value of US Government securities at end of year	2015-12-31	$0
Asset value of US Government securities at beginning of year	2015-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-307,671
Net investment gain/loss from pooled separate accounts	2015-12-31	$0
Net investment gain or loss from common/collective trusts	2015-12-31	$0
Net gain/loss from 103.12 investment entities	2015-12-31	$0
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	$0
Assets. Invements in employer securities at beginning of year	2015-12-31	$0
Assets. Value of employer real property at end of year	2015-12-31	$0
Assets. Value of employer real property at beginning of year	2015-12-31	$0
Contributions received in cash from employer	2015-12-31	$114,291
Employer contributions (assets) at end of year	2015-12-31	$86,187
Employer contributions (assets) at beginning of year	2015-12-31	$0
Income. Dividends from preferred stock	2015-12-31	$0
Income. Dividends from common stock	2015-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,936,699
Asset. Corporate debt instrument preferred debt at end of year	2015-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2015-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2015-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2015-12-31	$0
Contract administrator fees	2015-12-31	$0
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	2015-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2015-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2015-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2015-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2015-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2015-12-31	$0
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	$0
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2015-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2015-12-31	$0
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	BLUM SHAPIRO & COMPANY
Accountancy firm EIN	2015-12-31	061009205
2014 : THE SPENCER TURBINE COMPANY 401(K) PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets	2014-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$0
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Expenses. Interest paid	2014-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$3,606,722
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$1,430,648
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,429,685
Expenses. Certain deemed distributions of participant loans	2014-12-31	$0
Value of total corrective distributions	2014-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,187,542
Value of total assets at end of year	2014-12-31	$17,830,290
Value of total assets at beginning of year	2014-12-31	$15,654,216
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$963
Total income from rents	2014-12-31	$0
Total interest from all sources	2014-12-31	$7,807
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$769,252
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$769,252
Assets. Real estate other than employer real property at end of year	2014-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2014-12-31	$0
Administrative expenses professional fees incurred	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2014-12-31	$0
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$674,678
Participant contributions at end of year	2014-12-31	$189,317
Participant contributions at beginning of year	2014-12-31	$201,198
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$1,512,280
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Assets. Loans (other than to participants) at end of year	2014-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$0
Administrative expenses (other) incurred	2014-12-31	$963
Liabilities. Value of operating payables at end of year	2014-12-31	$0
Liabilities. Value of operating payables at beginning of year	2014-12-31	$0
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$0
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
Income. Non cash contributions	2014-12-31	$0
Value of net income/loss	2014-12-31	$2,176,074
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$17,830,290
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$15,654,216
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
Assets. partnership/joint venture interests at end of year	2014-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2014-12-31	$0
Investment advisory and management fees	2014-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$16,635,743
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$14,448,371
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	$0
Interest on participant loans	2014-12-31	$7,714
Income. Interest from loans (other than to participants)	2014-12-31	$0
Interest earned on other investments	2014-12-31	$0
Income. Interest from US Government securities	2014-12-31	$0
Income. Interest from corporate debt instruments	2014-12-31	$0
Value of interest in master investment trust accounts at end of year	2014-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$0
Value of interest in common/collective trusts at end of year	2014-12-31	$0
Value of interest in common/collective trusts at beginning of year	2014-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$1,005,230
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$929,042
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$929,042
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$93
Assets. Value of investments in 103.12 investment entities at end of year	2014-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2014-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$0
Asset value of US Government securities at end of year	2014-12-31	$0
Asset value of US Government securities at beginning of year	2014-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$642,121
Net investment gain/loss from pooled separate accounts	2014-12-31	$0
Net investment gain or loss from common/collective trusts	2014-12-31	$0
Net gain/loss from 103.12 investment entities	2014-12-31	$0
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	$0
Assets. Invements in employer securities at beginning of year	2014-12-31	$0
Assets. Value of employer real property at end of year	2014-12-31	$0
Assets. Value of employer real property at beginning of year	2014-12-31	$0
Contributions received in cash from employer	2014-12-31	$584
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$75,605
Income. Dividends from preferred stock	2014-12-31	$0
Income. Dividends from common stock	2014-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,429,685
Asset. Corporate debt instrument preferred debt at end of year	2014-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2014-12-31	$0
Contract administrator fees	2014-12-31	$0
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	2014-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2014-12-31	$0
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	$0
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2014-12-31	$0
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	BLUM SHAPIRO & COMPANY
Accountancy firm EIN	2014-12-31	061009205
2013 : THE SPENCER TURBINE COMPANY 401(K) PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$0
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Expenses. Interest paid	2013-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$3,849,793
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$856,632
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$849,275
Expenses. Certain deemed distributions of participant loans	2013-12-31	$5,472
Value of total corrective distributions	2013-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$725,257
Value of total assets at end of year	2013-12-31	$15,654,216
Value of total assets at beginning of year	2013-12-31	$12,661,055
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$1,885
Total income from rents	2013-12-31	$0
Total interest from all sources	2013-12-31	$8,304
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$719,723
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$719,723
Assets. Real estate other than employer real property at end of year	2013-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2013-12-31	$0
Administrative expenses professional fees incurred	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$634,476
Participant contributions at end of year	2013-12-31	$201,198
Participant contributions at beginning of year	2013-12-31	$163,941
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$15,176
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Assets. Loans (other than to participants) at end of year	2013-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$1,885
Liabilities. Value of operating payables at end of year	2013-12-31	$0
Liabilities. Value of operating payables at beginning of year	2013-12-31	$0
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$0
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
Income. Non cash contributions	2013-12-31	$0
Value of net income/loss	2013-12-31	$2,993,161
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$15,654,216
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$12,661,055
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
Assets. partnership/joint venture interests at end of year	2013-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2013-12-31	$0
Investment advisory and management fees	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$14,448,371
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$11,479,208
Value of interest in pooled separate accounts at end of year	2013-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$0
Interest on participant loans	2013-12-31	$8,206
Income. Interest from loans (other than to participants)	2013-12-31	$0
Interest earned on other investments	2013-12-31	$0
Income. Interest from US Government securities	2013-12-31	$0
Income. Interest from corporate debt instruments	2013-12-31	$0
Value of interest in master investment trust accounts at end of year	2013-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$0
Value of interest in common/collective trusts at end of year	2013-12-31	$0
Value of interest in common/collective trusts at beginning of year	2013-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$929,042
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$939,908
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$939,908
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$98
Assets. Value of investments in 103.12 investment entities at end of year	2013-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2013-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$0
Asset value of US Government securities at end of year	2013-12-31	$0
Asset value of US Government securities at beginning of year	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$2,396,509
Net investment gain/loss from pooled separate accounts	2013-12-31	$0
Net investment gain or loss from common/collective trusts	2013-12-31	$0
Net gain/loss from 103.12 investment entities	2013-12-31	$0
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	$0
Assets. Invements in employer securities at beginning of year	2013-12-31	$0
Assets. Value of employer real property at end of year	2013-12-31	$0
Assets. Value of employer real property at beginning of year	2013-12-31	$0
Contributions received in cash from employer	2013-12-31	$75,605
Employer contributions (assets) at end of year	2013-12-31	$75,605
Employer contributions (assets) at beginning of year	2013-12-31	$77,998
Income. Dividends from preferred stock	2013-12-31	$0
Income. Dividends from common stock	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$849,275
Asset. Corporate debt instrument preferred debt at end of year	2013-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2013-12-31	$0
Contract administrator fees	2013-12-31	$0
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
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2013-12-31	$0
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	$0
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2013-12-31	$0
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	BLUM SHAPIRO & COMPANY
Accountancy firm EIN	2013-12-31	061009205
2012 : THE SPENCER TURBINE COMPANY 401(K) PLAN 2012 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$2,197,860
Total of all expenses incurred	2012-12-31	$862,483
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$861,121
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$786,814
Value of total assets at end of year	2012-12-31	$12,661,055
Value of total assets at beginning of year	2012-12-31	$11,325,678
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$1,362
Total interest from all sources	2012-12-31	$9,114
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$282,353
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$282,353
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$1,000,000
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	$610,071
Participant contributions at end of year	2012-12-31	$163,941
Participant contributions at beginning of year	2012-12-31	$155,401
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$95,024
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2012-12-31	$29
Administrative expenses (other) incurred	2012-12-31	$1,362
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	$1,335,377
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$12,661,055
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$11,325,678
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	$11,479,208
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$9,996,752
Interest on participant loans	2012-12-31	$8,948
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$939,908
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$1,097,068
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$1,097,068
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$166
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,119,579
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	$81,719
Employer contributions (assets) at end of year	2012-12-31	$77,998
Employer contributions (assets) at beginning of year	2012-12-31	$76,457
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$861,092
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
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	BLUM SHAPIRO & COMPANY
Accountancy firm EIN	2012-12-31	061009205
2011 : THE SPENCER TURBINE COMPANY 401(K) 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	$854,128
Total of all expenses incurred	2011-12-31	$999,707
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$987,442
Expenses. Certain deemed distributions of participant loans	2011-12-31	$10,985
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$863,157
Value of total assets at end of year	2011-12-31	$11,325,678
Value of total assets at beginning of year	2011-12-31	$11,471,257
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$1,280
Total interest from all sources	2011-12-31	$10,334
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$275,005
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	$275,005
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	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	$575,501
Participant contributions at end of year	2011-12-31	$155,401
Participant contributions at beginning of year	2011-12-31	$206,065
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$211,199
Administrative expenses (other) incurred	2011-12-31	$1,280
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	$-145,579
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$11,325,678
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$11,471,257
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	$9,996,752
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$10,076,515
Interest on participant loans	2011-12-31	$10,224
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$1,097,068
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$1,115,628
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$1,115,628
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$110
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-294,368
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	$76,457
Employer contributions (assets) at end of year	2011-12-31	$76,457
Employer contributions (assets) at beginning of year	2011-12-31	$73,049
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$987,442
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
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	BLUM SHAPIRO & COMPANY
Accountancy firm EIN	2011-12-31	061009205
2010 : THE SPENCER TURBINE COMPANY 401(K) PLAN 2010 401k financial data
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	$1,945,153
Total of all expenses incurred	2010-12-31	$356,857
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$355,480
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$593,107
Value of total assets at end of year	2010-12-31	$11,471,257
Value of total assets at beginning of year	2010-12-31	$9,882,961
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$1,377
Total interest from all sources	2010-12-31	$12,467
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$155,906
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	$155,906
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	$520,058
Participant contributions at end of year	2010-12-31	$206,065
Participant contributions at beginning of year	2010-12-31	$235,719
Administrative expenses (other) incurred	2010-12-31	$1,377
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	$1,588,296
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$11,471,257
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$9,882,961
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$10,076,515
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$8,489,578
Interest on participant loans	2010-12-31	$12,336
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$1,115,628
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$1,088,272
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$1,088,272
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$131
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,183,673
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	$73,049
Employer contributions (assets) at end of year	2010-12-31	$73,049
Employer contributions (assets) at beginning of year	2010-12-31	$69,392
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$355,480
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	No
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	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	BLUM SHAPIRO & COMPANY
Accountancy firm EIN	2010-12-31	061009205
2009 : THE SPENCER TURBINE COMPANY 401(K) 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 THE SPENCER TURBINE COMPANY 401(K) PLAN

2016: THE SPENCER TURBINE COMPANY 401(K) 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	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
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: THE SPENCER TURBINE COMPANY 401(K) 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 – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: THE SPENCER TURBINE COMPANY 401(K) 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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: THE SPENCER TURBINE COMPANY 401(K) 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 – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: THE SPENCER TURBINE COMPANY 401(K) 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 funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: THE SPENCER TURBINE COMPANY 401(K) 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: THE SPENCER TURBINE COMPANY 401(K) 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 funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: THE SPENCER TURBINE COMPANY 401(K) 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 funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	THE SPENCER TURBINE COMPANY
Employer identification number (EIN):	060544750
NAIC Classification:	333200

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	2016-08-15
Company Identification Number:	3206128300
Legal Registered Office Address:	600 DAY HILL RD WINDSOR United States of America (USA) 06095