401k Plan data: BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES plan

BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 401k Plan overview

Plan Name	BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES
Plan identification number	002

BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

BALFOUR BEATTY RAIL SYSTEMS, INC. has sponsored the creation of one or more 401k plans.

Company Name: BALFOUR BEATTY RAIL SYSTEMS, INC.

Employer identification number (EIN): 391611003

NAIC Classification: 488210
NAIC Description: Support Activities for Rail Transportation

Form 5500 Filing Information

Submission information for form 5500 for 401k plan BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2013-01-01 SONYA ROBERTS 2014-10-15 SONYA ROBERTS 2014-10-15
002 2012-01-01 DAVID CONFER
002 2011-01-01 DAVID CONFER
002 2010-01-01 DAVID CONFER
002 2009-01-01 DAVID CONFER

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2013-01-01	SONYA ROBERTS	2014-10-15	SONYA ROBERTS	2014-10-15
002	2012-01-01	DAVID CONFER
002	2011-01-01	DAVID CONFER
002	2010-01-01	DAVID CONFER
002	2009-01-01	DAVID CONFER

Plan Statistics for BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES

401k plan membership statisitcs for BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES

Measure Date Value
2012: BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 2012 401k membership
Total participants, beginning-of-year 2012-01-01 25
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 15
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 6
Total of all active and inactive participants 2012-01-01 21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 21
Number of participants with account balances 2012-01-01 21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 2011 401k membership
Total participants, beginning-of-year 2011-01-01 23
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 20
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 5
Total of all active and inactive participants 2011-01-01 25
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 25
Number of participants with account balances 2011-01-01 25
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 2010 401k membership
Total participants, beginning-of-year 2010-01-01 23
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 16
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 7
Total of all active and inactive participants 2010-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 23
Number of participants with account balances 2010-01-01 23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 2009 401k membership
Total participants, beginning-of-year 2009-01-01 29
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 17
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 6
Total of all active and inactive participants 2009-01-01 23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 23
Number of participants with account balances 2009-01-01 23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 2012 401k membership
Total participants, beginning-of-year	2012-01-01	25
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	15
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	6
Total of all active and inactive participants	2012-01-01	21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	21
Number of participants with account balances	2012-01-01	21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 2011 401k membership
Total participants, beginning-of-year	2011-01-01	23
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	20
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	5
Total of all active and inactive participants	2011-01-01	25
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	25
Number of participants with account balances	2011-01-01	25
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 2010 401k membership
Total participants, beginning-of-year	2010-01-01	23
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	16
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	7
Total of all active and inactive participants	2010-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	23
Number of participants with account balances	2010-01-01	23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 2009 401k membership
Total participants, beginning-of-year	2009-01-01	29
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	17
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	6
Total of all active and inactive participants	2009-01-01	23
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	23
Number of participants with account balances	2009-01-01	23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES

Measure	Date	Value
2012 : BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 2012 401k financial data
Total income from all sources	2012-12-31	$221,631
Expenses. Total of all expenses incurred	2012-12-31	$324,377
Benefits paid (including direct rollovers)	2012-12-31	$323,985
Total plan assets at end of year	2012-12-31	$1,084,978
Total plan assets at beginning of year	2012-12-31	$1,187,724
Value of fidelity bond covering the plan	2012-12-31	$10,000,000
Total contributions received or receivable from participants	2012-12-31	$90,932
Expenses. Other expenses not covered elsewhere	2012-12-31	$392
Other income received	2012-12-31	$115,428
Net income (gross income less expenses)	2012-12-31	$-102,746
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,084,978
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,187,724
Assets. Value of participant loans	2012-12-31	$10,538
Total contributions received or receivable from employer(s)	2012-12-31	$15,271
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 2011 401k financial data
Total income from all sources	2011-12-31	$82,901
Expenses. Total of all expenses incurred	2011-12-31	$103,331
Benefits paid (including direct rollovers)	2011-12-31	$102,803
Total plan assets at end of year	2011-12-31	$1,187,724
Total plan assets at beginning of year	2011-12-31	$1,208,154
Value of fidelity bond covering the plan	2011-12-31	$10,000,000
Total contributions received or receivable from participants	2011-12-31	$77,415
Expenses. Other expenses not covered elsewhere	2011-12-31	$528
Other income received	2011-12-31	$-7,415
Net income (gross income less expenses)	2011-12-31	$-20,430
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,187,724
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,208,154
Assets. Value of participant loans	2011-12-31	$27,073
Total contributions received or receivable from employer(s)	2011-12-31	$12,901
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 2010 401k financial data
Total income from all sources	2010-12-31	$194,025
Expenses. Total of all expenses incurred	2010-12-31	$85,395
Benefits paid (including direct rollovers)	2010-12-31	$84,792
Total plan assets at end of year	2010-12-31	$1,208,154
Total plan assets at beginning of year	2010-12-31	$1,099,524
Value of fidelity bond covering the plan	2010-12-31	$10,000,000
Total contributions received or receivable from participants	2010-12-31	$68,537
Other income received	2010-12-31	$113,063
Net income (gross income less expenses)	2010-12-31	$108,630
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,208,154
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,099,524
Assets. Value of participant loans	2010-12-31	$32,350
Total contributions received or receivable from employer(s)	2010-12-31	$12,425
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$603
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 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 BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES

2012: BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 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	Yes
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 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	Yes
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	Yes
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: BALFOUR BEATTY RAIL SYSTEMS, INC. 401(K) SAVINGS INVESTMENT PLAN FOR BARGAINING UNIT EMPLOYEES 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	Yes
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

38635-002

Policy instance

Insurance contract or identification number	38635-002
Number of Individuals Covered	21
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

38635-002

Policy instance

Insurance contract or identification number	38635-002
Number of Individuals Covered	25
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL RETIREMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 93629 )

Policy contract number

38635-002

Policy instance

Insurance contract or identification number	38635-002
Number of Individuals Covered	23
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	BALFOUR BEATTY RAIL SYSTEMS, INC.
Employer identification number (EIN):	391611003
NAIC Classification:	488210
NAIC Description:	Support Activities for Rail Transportation