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JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN 401k Plan overview

Plan NameJAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN
Plan identification number 001

JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN Benefits

401k Plan TypeDefined Benefit Pension
Plan Features/Benefits
  • Benefits are primarily flat dollar (includes dollars per year of service)
  • Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
  • Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).

401k Sponsoring company profile

JAMES RIVER COAL COMPANY has sponsored the creation of one or more 401k plans.

Company Name:JAMES RIVER COAL COMPANY
Employer identification number (EIN):610718373
NAIC Classification:212110
NAIC Description: Coal Mining

Additional information about JAMES RIVER COAL COMPANY

Jurisdiction of Incorporation: Virginia Secretary of State
Incorporation Date: 1991-06-27
Company Identification Number: 0377722
Legal Registered Office Address: 901 E BYRD ST, STE 900

RICHMOND
United States of America (USA)
23219

More information about JAMES RIVER COAL COMPANY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012012-10-01SAMUEL M. HOPKINS II SAMUEL M. HOPKINS II2014-07-14
0012011-10-01SAMUEL M. HOPKINS II SAMUEL M. HOPKINS II2013-07-12
0012009-10-01SAMUEL M. HOPKINS II SAMUEL M. HOPKINS II2011-07-14
0012008-10-01

Plan Statistics for JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN

401k plan membership statisitcs for JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN

Measure Date Value
2012: JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN 2012 401k membership
Total participants, beginning-of-year2012-10-012,004
Total number of active participants reported on line 7a of the Form 55002012-10-01683
Number of retired or separated participants receiving benefits2012-10-01540
Number of other retired or separated participants entitled to future benefits2012-10-01698
Total of all active and inactive participants2012-10-011,921
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-10-0177
Total participants2012-10-011,998
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-10-016
2011: JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN 2011 401k membership
Total participants, beginning-of-year2011-10-012,006
Total number of active participants reported on line 7a of the Form 55002011-10-01767
Number of retired or separated participants receiving benefits2011-10-01469
Number of other retired or separated participants entitled to future benefits2011-10-01696
Total of all active and inactive participants2011-10-011,932
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-10-0172
Total participants2011-10-012,004
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-10-014
2009: JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN 2009 401k membership
Total participants, beginning-of-year2009-10-012,014
Total number of active participants reported on line 7a of the Form 55002009-10-01825
Number of retired or separated participants receiving benefits2009-10-01415
Number of other retired or separated participants entitled to future benefits2009-10-01701
Total of all active and inactive participants2009-10-011,941
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-10-0158
Total participants2009-10-011,999
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-10-0116

Financial Data on JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN

Measure Date Value
2013 : JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-09-30$0
Total transfer of assets to this plan2013-09-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-09-30$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-09-30$0
Total income from all sources (including contributions)2013-09-30$10,154,735
Total loss/gain on sale of assets2013-09-30$0
Total of all expenses incurred2013-09-30$4,428,087
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-09-30$3,902,268
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-09-30$844,904
Value of total assets at end of year2013-09-30$70,133,529
Value of total assets at beginning of year2013-09-30$64,406,881
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-09-30$525,819
Total interest from all sources2013-09-30$45,331
Total dividends received (eg from common stock, registered investment company shares)2013-09-30$1,576,909
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-09-30No
Total dividends received from registered investment company shares (eg mutual funds)2013-09-30$1,576,909
Administrative expenses professional fees incurred2013-09-30$46,500
Was this plan covered by a fidelity bond2013-09-30Yes
Value of fidelity bond cover2013-09-30$500,000
Were there any nonexempt tranactions with any party-in-interest2013-09-30No
Income. Received or receivable in cash from other sources (including rollovers)2013-09-30$74,442
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-09-30$11
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-09-30$2
Other income not declared elsewhere2013-09-30$0
Administrative expenses (other) incurred2013-09-30$448,890
Total non interest bearing cash at end of year2013-09-30$4,013
Total non interest bearing cash at beginning of year2013-09-30$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-09-30No
Value of net income/loss2013-09-30$5,726,648
Value of net assets at end of year (total assets less liabilities)2013-09-30$70,133,529
Value of net assets at beginning of year (total assets less liabilities)2013-09-30$64,406,881
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2013-09-30No
Were any leases to which the plan was party in default or uncollectible2013-09-30No
Investment advisory and management fees2013-09-30$30,429
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-09-30$68,860,709
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-09-30$62,596,202
Interest earned on other investments2013-09-30$45,258
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-09-30$1,268,796
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-09-30$160,907
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-09-30$160,907
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-09-30$73
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-09-30$7,687,591
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-09-30Yes
Was there a failure to transmit to the plan any participant contributions2013-09-30No
Has the plan failed to provide any benefit when due under the plan2013-09-30No
Contributions received in cash from employer2013-09-30$770,462
Employer contributions (assets) at end of year2013-09-30$0
Employer contributions (assets) at beginning of year2013-09-30$1,649,770
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-09-30$3,902,268
Contract administrator fees2013-09-30$0
Did the plan have assets held for investment2013-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-09-30No
Aggregate proceeds on sale of assets2013-09-30$4,157,572
Aggregate carrying amount (costs) on sale of assets2013-09-30$4,157,572
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-09-30Yes
Opinion of an independent qualified public accountant for this plan2013-09-30Disclaimer
Accountancy firm name2013-09-30DIXON HUGHES GOODMAN LLP
Accountancy firm EIN2013-09-30560747981
2012 : JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-09-30$0
Total transfer of assets to this plan2012-09-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-09-30$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-09-30$0
Total income from all sources (including contributions)2012-09-30$14,264,005
Total loss/gain on sale of assets2012-09-30$0
Total of all expenses incurred2012-09-30$3,336,703
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-09-30$2,885,588
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-09-30$3,283,126
Value of total assets at end of year2012-09-30$64,406,881
Value of total assets at beginning of year2012-09-30$53,479,579
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-09-30$451,115
Total interest from all sources2012-09-30$35
Total dividends received (eg from common stock, registered investment company shares)2012-09-30$1,431,986
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-09-30No
Administrative expenses professional fees incurred2012-09-30$46,500
Was this plan covered by a fidelity bond2012-09-30Yes
Value of fidelity bond cover2012-09-30$500,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-09-30$0
Were there any nonexempt tranactions with any party-in-interest2012-09-30No
Income. Received or receivable in cash from other sources (including rollovers)2012-09-30$68,777
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-09-30$2
Administrative expenses (other) incurred2012-09-30$366,388
Total non interest bearing cash at end of year2012-09-30$0
Total non interest bearing cash at beginning of year2012-09-30$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-09-30No
Value of net income/loss2012-09-30$10,927,302
Value of net assets at end of year (total assets less liabilities)2012-09-30$64,406,881
Value of net assets at beginning of year (total assets less liabilities)2012-09-30$53,479,579
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2012-09-30No
Were any leases to which the plan was party in default or uncollectible2012-09-30No
Investment advisory and management fees2012-09-30$38,227
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-09-30$62,596,202
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-09-30$51,865,358
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-09-30$160,907
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-09-30$608,448
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-09-30$608,448
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-09-30$35
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-09-30$9,548,858
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-09-30Yes
Was there a failure to transmit to the plan any participant contributions2012-09-30No
Has the plan failed to provide any benefit when due under the plan2012-09-30No
Contributions received in cash from employer2012-09-30$3,214,349
Employer contributions (assets) at end of year2012-09-30$1,649,770
Employer contributions (assets) at beginning of year2012-09-30$1,005,773
Income. Dividends from common stock2012-09-30$1,431,986
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-09-30$2,885,588
Did the plan have assets held for investment2012-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-09-30No
Aggregate proceeds on sale of assets2012-09-30$3,423,074
Aggregate carrying amount (costs) on sale of assets2012-09-30$3,423,074
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-09-30Yes
Opinion of an independent qualified public accountant for this plan2012-09-30Disclaimer
Accountancy firm name2012-09-30DIXON HUGHES GOODMAN LLP
Accountancy firm EIN2012-09-30560747981
2011 : JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-09-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-09-30$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-09-30$0
Total income from all sources (including contributions)2011-09-30$2,025,925
Total loss/gain on sale of assets2011-09-30$2,770,989
Total of all expenses incurred2011-09-30$2,941,245
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-09-30$2,560,144
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-09-30$2,265,380
Value of total assets at end of year2011-09-30$53,479,579
Value of total assets at beginning of year2011-09-30$54,394,899
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-09-30$381,101
Total interest from all sources2011-09-30$41
Total dividends received (eg from common stock, registered investment company shares)2011-09-30$1,230,114
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-09-30No
Administrative expenses professional fees incurred2011-09-30$46,500
Was this plan covered by a fidelity bond2011-09-30Yes
Value of fidelity bond cover2011-09-30$500,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-09-30$0
Were there any nonexempt tranactions with any party-in-interest2011-09-30No
Income. Received or receivable in cash from other sources (including rollovers)2011-09-30$56,670
Value of other receiveables (less allowance for doubtful accounts) at end of year2011-09-30$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-09-30$7
Administrative expenses (other) incurred2011-09-30$295,015
Total non interest bearing cash at end of year2011-09-30$0
Total non interest bearing cash at beginning of year2011-09-30$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-09-30No
Value of net income/loss2011-09-30$-915,320
Value of net assets at end of year (total assets less liabilities)2011-09-30$53,479,579
Value of net assets at beginning of year (total assets less liabilities)2011-09-30$54,394,899
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-09-30No
Were any loans by the plan or fixed income obligations due to the plan in default2011-09-30No
Were any leases to which the plan was party in default or uncollectible2011-09-30No
Investment advisory and management fees2011-09-30$39,586
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-09-30$51,865,358
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-09-30$53,080,020
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-09-30$608,448
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-09-30$707,393
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-09-30$707,393
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-09-30$41
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-09-30$-4,240,599
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-09-30Yes
Was there a failure to transmit to the plan any participant contributions2011-09-30No
Has the plan failed to provide any benefit when due under the plan2011-09-30No
Contributions received in cash from employer2011-09-30$2,208,710
Employer contributions (assets) at end of year2011-09-30$1,005,773
Employer contributions (assets) at beginning of year2011-09-30$607,479
Income. Dividends from common stock2011-09-30$1,230,114
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-09-30$2,560,144
Did the plan have assets held for investment2011-09-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-09-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-09-30No
Aggregate proceeds on sale of assets2011-09-30$15,111,858
Aggregate carrying amount (costs) on sale of assets2011-09-30$12,340,869
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-09-30Yes
Opinion of an independent qualified public accountant for this plan2011-09-30Disclaimer
Accountancy firm name2011-09-30KEITER
Accountancy firm EIN2011-09-30541931362
2010 : JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-09-30$0

Form 5500 Responses for JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN

2012: JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN 2012 form 5500 responses
2012-10-01Type of plan entitySingle employer plan
2012-10-01Submission has been amendedNo
2012-10-01This submission is the final filingNo
2012-10-01This return/report is a short plan year return/report (less than 12 months)No
2012-10-01Plan is a collectively bargained planNo
2012-10-01Plan funding arrangement – TrustYes
2012-10-01Plan benefit arrangement - TrustYes
2011: JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN 2011 form 5500 responses
2011-10-01Type of plan entitySingle employer plan
2011-10-01Submission has been amendedNo
2011-10-01This submission is the final filingNo
2011-10-01This return/report is a short plan year return/report (less than 12 months)No
2011-10-01Plan is a collectively bargained planNo
2011-10-01Plan funding arrangement – TrustYes
2011-10-01Plan benefit arrangement - TrustYes
2009: JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN 2009 form 5500 responses
2009-10-01Type of plan entitySingle employer plan
2009-10-01Submission has been amendedNo
2009-10-01This submission is the final filingNo
2009-10-01This return/report is a short plan year return/report (less than 12 months)No
2009-10-01Plan is a collectively bargained planNo
2009-10-01Plan funding arrangement – TrustYes
2009-10-01Plan benefit arrangement - TrustYes
2008: JAMES RIVER COAL COMPANY EMPLOYEES' PENSION PLAN 2008 form 5500 responses
2008-10-01Type of plan entitySingle employer plan
2008-10-01Submission has been amendedNo
2008-10-01This submission is the final filingNo
2008-10-01This return/report is a short plan year return/report (less than 12 months)No
2008-10-01Plan is a collectively bargained planNo

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