401k Plan data: LEWIS AND ROCA LLP PENSION PLAN plan

LEWIS AND ROCA LLP PENSION PLAN 401k Plan overview

Plan Name	LEWIS AND ROCA LLP PENSION PLAN
Plan identification number	001

LEWIS AND ROCA LLP PENSION PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
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.
Life insurance

401k Sponsoring company profile

LEWIS ROCA ROTHGERBER CHRISTIE LLP has sponsored the creation of one or more 401k plans.

Company Name: LEWIS ROCA ROTHGERBER CHRISTIE LLP

Employer identification number (EIN): 860095078

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LEWIS AND ROCA LLP PENSION PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2011-06-01 GLENN D. FORCUCCI GLENN D. FORCUCCI 2012-06-14
001 2010-06-01 GLENN D. FORCUCCI GLENN D. FORCUCCI 2012-03-14
001 2009-06-01 GLENN D. FORCUCCI GLENN D. FORCUCCI 2011-03-07

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2011-06-01	GLENN D. FORCUCCI	GLENN D. FORCUCCI	2012-06-14
001	2010-06-01	GLENN D. FORCUCCI	GLENN D. FORCUCCI	2012-03-14
001	2009-06-01	GLENN D. FORCUCCI	GLENN D. FORCUCCI	2011-03-07

Plan Statistics for LEWIS AND ROCA LLP PENSION PLAN

401k plan membership statisitcs for LEWIS AND ROCA LLP PENSION PLAN

Measure Date Value
2011: LEWIS AND ROCA LLP PENSION PLAN 2011 401k membership
Total participants, beginning-of-year 2011-06-01 381
Total number of active participants reported on line 7a of the Form 5500 2011-06-01 0
Number of retired or separated participants receiving benefits 2011-06-01 0
Number of other retired or separated participants entitled to future benefits 2011-06-01 0
Total of all active and inactive participants 2011-06-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-06-01 0
Total participants 2011-06-01 0
Number of participants with account balances 2011-06-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-06-01 0
2010: LEWIS AND ROCA LLP PENSION PLAN 2010 401k membership
Total participants, beginning-of-year 2010-06-01 386
Total number of active participants reported on line 7a of the Form 5500 2010-06-01 270
Number of retired or separated participants receiving benefits 2010-06-01 1
Number of other retired or separated participants entitled to future benefits 2010-06-01 108
Total of all active and inactive participants 2010-06-01 379
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-06-01 2
Total participants 2010-06-01 381
Number of participants with account balances 2010-06-01 381
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-06-01 0
2009: LEWIS AND ROCA LLP PENSION PLAN 2009 401k membership
Total participants, beginning-of-year 2009-06-01 389
Total number of active participants reported on line 7a of the Form 5500 2009-06-01 277
Number of retired or separated participants receiving benefits 2009-06-01 1
Number of other retired or separated participants entitled to future benefits 2009-06-01 105
Total of all active and inactive participants 2009-06-01 383
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-06-01 3
Total participants 2009-06-01 386
Number of participants with account balances 2009-06-01 386
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-06-01 0

Measure	Date	Value
2011: LEWIS AND ROCA LLP PENSION PLAN 2011 401k membership
Total participants, beginning-of-year	2011-06-01	381
Total number of active participants reported on line 7a of the Form 5500	2011-06-01	0
Number of retired or separated participants receiving benefits	2011-06-01	0
Number of other retired or separated participants entitled to future benefits	2011-06-01	0
Total of all active and inactive participants	2011-06-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-06-01	0
Total participants	2011-06-01	0
Number of participants with account balances	2011-06-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-06-01	0
2010: LEWIS AND ROCA LLP PENSION PLAN 2010 401k membership
Total participants, beginning-of-year	2010-06-01	386
Total number of active participants reported on line 7a of the Form 5500	2010-06-01	270
Number of retired or separated participants receiving benefits	2010-06-01	1
Number of other retired or separated participants entitled to future benefits	2010-06-01	108
Total of all active and inactive participants	2010-06-01	379
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-06-01	2
Total participants	2010-06-01	381
Number of participants with account balances	2010-06-01	381
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-06-01	0
2009: LEWIS AND ROCA LLP PENSION PLAN 2009 401k membership
Total participants, beginning-of-year	2009-06-01	389
Total number of active participants reported on line 7a of the Form 5500	2009-06-01	277
Number of retired or separated participants receiving benefits	2009-06-01	1
Number of other retired or separated participants entitled to future benefits	2009-06-01	105
Total of all active and inactive participants	2009-06-01	383
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-06-01	3
Total participants	2009-06-01	386
Number of participants with account balances	2009-06-01	386
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-06-01	0

Financial Data on LEWIS AND ROCA LLP PENSION PLAN

Measure	Date	Value
2011 : LEWIS AND ROCA LLP PENSION PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-11-30	$0
Total transfer of assets to this plan	2011-11-30	$0
Total transfer of assets from this plan	2011-11-30	$54,542,722
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-11-30	$126,945
Total income from all sources (including contributions)	2011-11-30	$-2,257,601
Total loss/gain on sale of assets	2011-11-30	$-408,940
Total of all expenses incurred	2011-11-30	$3,274,963
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-11-30	$3,151,842
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-11-30	$0
Value of total assets at end of year	2011-11-30	$0
Value of total assets at beginning of year	2011-11-30	$60,202,231
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-11-30	$123,121
Total interest from all sources	2011-11-30	$8,191
Total dividends received (eg from common stock, registered investment company shares)	2011-11-30	$606,343
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-11-30	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2011-11-30	$0
Was this plan covered by a fidelity bond	2011-11-30	Yes
Value of fidelity bond cover	2011-11-30	$2,000,000
If this is an individual account plan, was there a blackout period	2011-11-30	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2011-11-30	No
Participant contributions at end of year	2011-11-30	$0
Participant contributions at beginning of year	2011-11-30	$364,113
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-11-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-11-30	$24,847
Other income not declared elsewhere	2011-11-30	$39,792
Administrative expenses (other) incurred	2011-11-30	$40,264
Liabilities. Value of operating payables at end of year	2011-11-30	$0
Liabilities. Value of operating payables at beginning of year	2011-11-30	$126,945
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-11-30	No
Value of net income/loss	2011-11-30	$-5,532,564
Value of net assets at end of year (total assets less liabilities)	2011-11-30	$0
Value of net assets at beginning of year (total assets less liabilities)	2011-11-30	$60,075,286
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-11-30	No
Were any leases to which the plan was party in default or uncollectible	2011-11-30	No
Investment advisory and management fees	2011-11-30	$82,857
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-11-30	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-11-30	$25,690,941
Interest on participant loans	2011-11-30	$5,178
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-11-30	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-11-30	$1,470,850
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-11-30	$1,470,850
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-11-30	$3,013
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-11-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-11-30	$81,522
Expenses. Payments to insurance carriers foe the provision of benefits	2011-11-30	$771
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-11-30	$-2,502,987
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-11-30	Yes
Was there a failure to transmit to the plan any participant contributions	2011-11-30	No
Has the plan failed to provide any benefit when due under the plan	2011-11-30	No
Contributions received in cash from employer	2011-11-30	$0
Employer contributions (assets) at end of year	2011-11-30	$0
Employer contributions (assets) at beginning of year	2011-11-30	$2,667,207
Income. Dividends from common stock	2011-11-30	$606,343
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-11-30	$3,151,071
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	2011-11-30	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2011-11-30	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-11-30	$29,902,751
Did the plan have assets held for investment	2011-11-30	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	2011-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-11-30	Yes
Aggregate carrying amount (costs) on sale of assets	2011-11-30	$408,940
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2011-11-30	Disclaimer
Accountancy firm name	2011-11-30	GAINTNER BANDLER REED & PETERS PLC
Accountancy firm EIN	2011-11-30	860176934
Unrealized appreciation/depreciation of other (non real estate) assets	2011-05-31	$5,292,532
Total unrealized appreciation/depreciation of assets	2011-05-31	$5,292,532
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-05-31	$126,945
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-05-31	$169,619
Total income from all sources (including contributions)	2011-05-31	$11,639,785
Total loss/gain on sale of assets	2011-05-31	$578,980
Total of all expenses incurred	2011-05-31	$2,383,394
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-05-31	$2,064,345
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-05-31	$2,667,207
Value of total assets at end of year	2011-05-31	$60,202,231
Value of total assets at beginning of year	2011-05-31	$50,988,514
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-05-31	$319,049
Total interest from all sources	2011-05-31	$17,739
Total dividends received (eg from common stock, registered investment company shares)	2011-05-31	$1,322,463
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-05-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2011-05-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2011-05-31	$827,327
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2011-05-31	$2,101
Was this plan covered by a fidelity bond	2011-05-31	Yes
Value of fidelity bond cover	2011-05-31	$2,000,000
If this is an individual account plan, was there a blackout period	2011-05-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-05-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-05-31	No
Participant contributions at end of year	2011-05-31	$364,113
Participant contributions at beginning of year	2011-05-31	$304,413
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-05-31	$24,847
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-05-31	$152,906
Other income not declared elsewhere	2011-05-31	$11,793
Administrative expenses (other) incurred	2011-05-31	$96,424
Liabilities. Value of operating payables at end of year	2011-05-31	$126,945
Liabilities. Value of operating payables at beginning of year	2011-05-31	$169,619
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-05-31	No
Value of net income/loss	2011-05-31	$9,256,391
Value of net assets at end of year (total assets less liabilities)	2011-05-31	$60,075,286
Value of net assets at beginning of year (total assets less liabilities)	2011-05-31	$50,818,895
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-05-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-05-31	No
Were any leases to which the plan was party in default or uncollectible	2011-05-31	No
Investment advisory and management fees	2011-05-31	$222,625
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-05-31	$25,690,941
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-05-31	$19,366,833
Interest on participant loans	2011-05-31	$9,560
Interest earned on other investments	2011-05-31	$-562
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-05-31	$1,470,850
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-05-31	$994,103
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-05-31	$994,103
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-05-31	$8,741
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-05-31	$81,522
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-05-31	$74,554
Expenses. Payments to insurance carriers foe the provision of benefits	2011-05-31	$807
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-05-31	$1,749,071
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-05-31	Yes
Was there a failure to transmit to the plan any participant contributions	2011-05-31	No
Has the plan failed to provide any benefit when due under the plan	2011-05-31	No
Contributions received in cash from employer	2011-05-31	$2,667,207
Employer contributions (assets) at end of year	2011-05-31	$2,667,207
Employer contributions (assets) at beginning of year	2011-05-31	$2,821,095
Income. Dividends from common stock	2011-05-31	$495,136
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-05-31	$2,063,538
Assets. Corporate common stocks other than exployer securities at end of year	2011-05-31	$29,902,751
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-05-31	$27,272,509
Did the plan have assets held for investment	2011-05-31	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	2011-05-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-05-31	No
Aggregate proceeds on sale of assets	2011-05-31	$27,528,792
Aggregate carrying amount (costs) on sale of assets	2011-05-31	$26,949,812
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-05-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-05-31	Disclaimer
Accountancy firm name	2011-05-31	GAINTNER BANDLER REED & PETERS PLC
Accountancy firm EIN	2011-05-31	860176934
2010 : LEWIS AND ROCA LLP PENSION PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-05-31	$0

Form 5500 Responses for LEWIS AND ROCA LLP PENSION PLAN

2011: LEWIS AND ROCA LLP PENSION PLAN 2011 form 5500 responses
2011-06-01	Type of plan entity	Single employer plan
2011-06-01	Submission has been amended	No
2011-06-01	This submission is the final filing	Yes
2011-06-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2011-06-01	Plan is a collectively bargained plan	No
2011-06-01	Plan funding arrangement – Insurance	Yes
2011-06-01	Plan funding arrangement – Trust	Yes
2011-06-01	Plan benefit arrangement – Insurance	Yes
2011-06-01	Plan benefit arrangement - Trust	Yes
2010: LEWIS AND ROCA LLP PENSION PLAN 2010 form 5500 responses
2010-06-01	Type of plan entity	Single employer plan
2010-06-01	Submission has been amended	No
2010-06-01	This submission is the final filing	No
2010-06-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-06-01	Plan is a collectively bargained plan	No
2010-06-01	Plan funding arrangement – Insurance	Yes
2010-06-01	Plan funding arrangement – Trust	Yes
2010-06-01	Plan benefit arrangement – Insurance	Yes
2010-06-01	Plan benefit arrangement - Trust	Yes
2009: LEWIS AND ROCA LLP PENSION PLAN 2009 form 5500 responses
2009-06-01	Type of plan entity	Single employer plan
2009-06-01	Submission has been amended	No
2009-06-01	This submission is the final filing	No
2009-06-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-06-01	Plan is a collectively bargained plan	No
2009-06-01	Plan funding arrangement – Insurance	Yes
2009-06-01	Plan funding arrangement – Trust	Yes
2009-06-01	Plan benefit arrangement – Insurance	Yes
2009-06-01	Plan benefit arrangement - Trust	Yes

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Company Name:	LEWIS ROCA ROTHGERBER CHRISTIE LLP
Employer identification number (EIN):	860095078
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers