401k Plan data: RED HAWK INDUSTRIES, LLC 401(K) PLAN plan

RED HAWK INDUSTRIES, LLC 401(K) PLAN 401k Plan overview

Plan Name	RED HAWK INDUSTRIES, LLC 401(K) PLAN
Plan identification number	001

RED HAWK INDUSTRIES, LLC 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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

UTC FIRE & SECURITY CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: UTC FIRE & SECURITY CORPORATION

Employer identification number (EIN): 341977388

NAIC Classification: 541990
NAIC Description: All Other Professional, Scientific, and Technical Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RED HAWK INDUSTRIES, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2013-01-01 PETER GAMBARDELLA
001 2012-01-01 PETER GAMBARDELLA
001 2011-01-01 PETER GAMBARDELLA

Plan id#	Filing Submission Date	Name of Administrator
001	2013-01-01	PETER GAMBARDELLA
001	2012-01-01	PETER GAMBARDELLA
001	2011-01-01	PETER GAMBARDELLA

Plan Statistics for RED HAWK INDUSTRIES, LLC 401(K) PLAN

401k plan membership statisitcs for RED HAWK INDUSTRIES, LLC 401(K) PLAN

Measure Date Value
2013: RED HAWK INDUSTRIES, LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 200
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 0
Number of participants with account balances 2013-01-01 0
2012: RED HAWK INDUSTRIES, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 322
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 200
Total of all active and inactive participants 2012-01-01 200
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 200
Number of participants with account balances 2012-01-01 200
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: RED HAWK INDUSTRIES, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 386
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 224
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 98
Total of all active and inactive participants 2011-01-01 322
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 322
Number of participants with account balances 2011-01-01 322
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0

Measure	Date	Value
2013: RED HAWK INDUSTRIES, LLC 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	200
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	0
Number of participants with account balances	2013-01-01	0
2012: RED HAWK INDUSTRIES, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	322
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	200
Total of all active and inactive participants	2012-01-01	200
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	200
Number of participants with account balances	2012-01-01	200
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: RED HAWK INDUSTRIES, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	386
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	224
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	98
Total of all active and inactive participants	2011-01-01	322
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	322
Number of participants with account balances	2011-01-01	322
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0

Financial Data on RED HAWK INDUSTRIES, LLC 401(K) PLAN

Measure	Date	Value
2013 : RED HAWK INDUSTRIES, LLC 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-13	$0
Total transfer of assets from this plan	2013-12-13	$5,126,130
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-13	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-13	$0
Expenses. Interest paid	2013-12-13	$736
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2013-12-13	$736
Total income from all sources (including contributions)	2013-12-13	$742,803
Total loss/gain on sale of assets	2013-12-13	$0
Total of all expenses incurred	2013-12-13	$2,105,913
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-13	$2,098,566
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-13	$0
Value of total assets at end of year	2013-12-13	$0
Value of total assets at beginning of year	2013-12-13	$6,489,240
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-13	$6,611
Total interest from all sources	2013-12-13	$3,042
Total dividends received (eg from common stock, registered investment company shares)	2013-12-13	$123,123
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-13	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-13	$123,123
Was this plan covered by a fidelity bond	2013-12-13	Yes
Value of fidelity bond cover	2013-12-13	$25,000,000
If this is an individual account plan, was there a blackout period	2013-12-13	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-13	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-13	No
Participant contributions at end of year	2013-12-13	$0
Participant contributions at beginning of year	2013-12-13	$88,929
Administrative expenses (other) incurred	2013-12-13	$6,611
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-13	No
Value of net income/loss	2013-12-13	$-1,363,110
Value of net assets at end of year (total assets less liabilities)	2013-12-13	$0
Value of net assets at beginning of year (total assets less liabilities)	2013-12-13	$6,489,240
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-13	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-13	No
Were any leases to which the plan was party in default or uncollectible	2013-12-13	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-13	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-13	$6,361,591
Interest on participant loans	2013-12-13	$3,039
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-13	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-13	$38,720
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-13	$38,720
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-13	$3
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-13	$616,638
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-13	No
Was there a failure to transmit to the plan any participant contributions	2013-12-13	No
Has the plan failed to provide any benefit when due under the plan	2013-12-13	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-13	$2,098,566
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	2013-12-13	Yes
Did the plan have assets held for investment	2013-12-13	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	2013-12-13	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-13	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-13	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-13	Disclaimer
Accountancy firm name	2013-12-13	JDS PROFESSIONAL GROUP
Accountancy firm EIN	2013-12-13	208019714
2012 : RED HAWK INDUSTRIES, LLC 401(K) PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-12-31	$943,743
Total of all expenses incurred	2012-12-31	$3,062,010
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$3,035,953
Expenses. Certain deemed distributions of participant loans	2012-12-31	$13,700
Value of total assets at end of year	2012-12-31	$6,489,240
Value of total assets at beginning of year	2012-12-31	$8,607,506
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$12,357
Total interest from all sources	2012-12-31	$5,077
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$248,808
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	$248,808
Was this plan covered by a fidelity bond	2012-12-31	No
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
Participant contributions at end of year	2012-12-31	$88,929
Participant contributions at beginning of year	2012-12-31	$119,540
Administrative expenses (other) incurred	2012-12-31	$12,357
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	$-2,118,267
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$6,489,240
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$8,607,506
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	$6,361,591
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$8,285,466
Interest on participant loans	2012-12-31	$5,077
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$38,720
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$202,500
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$202,500
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$689,858
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$3,035,953
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	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	JDS PROFESSIONAL GROUP
Accountancy firm EIN	2012-12-31	208019714
2011 : RED HAWK INDUSTRIES, LLC 401(K) PLAN 2011 401k financial data
Total transfer of assets to this plan	2011-12-31	$0
Total transfer of assets from this plan	2011-12-31	$0
Expenses. Interest paid	2011-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$-172,173
Total of all expenses incurred	2011-12-31	$1,456,874
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,360,289
Expenses. Certain deemed distributions of participant loans	2011-12-31	$81,905
Value of total corrective distributions	2011-12-31	$0
Value of total assets at end of year	2011-12-31	$8,607,506
Value of total assets at beginning of year	2011-12-31	$10,236,553
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$14,680
Total interest from all sources	2011-12-31	$8,464
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$409,100
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	$409,100
Was this plan covered by a fidelity bond	2011-12-31	No
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
Participant contributions at end of year	2011-12-31	$119,540
Participant contributions at beginning of year	2011-12-31	$252,723
Administrative expenses (other) incurred	2011-12-31	$14,680
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	$-1,629,047
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$8,607,506
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$10,236,553
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	$8,285,466
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$9,780,190
Interest on participant loans	2011-12-31	$8,447
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$202,500
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$203,640
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$203,640
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$17
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-589,737
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,360,289
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	JDS PROFESSIONAL GROUP
Accountancy firm EIN	2011-12-31	208019714

Form 5500 Responses for RED HAWK INDUSTRIES, LLC 401(K) PLAN

2013: RED HAWK INDUSTRIES, LLC 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	Yes
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: RED HAWK INDUSTRIES, LLC 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 is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: RED HAWK INDUSTRIES, LLC 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 is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	UTC FIRE & SECURITY CORPORATION
Employer identification number (EIN):	341977388
NAIC Classification:	541990
NAIC Description:	All Other Professional, Scientific, and Technical Services