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THE ARKWIN RETIREMENT PLAN 401k Plan overview

Plan NameTHE ARKWIN RETIREMENT PLAN
Plan identification number 001

THE ARKWIN RETIREMENT PLAN Benefits

401k Plan TypeDefined 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.
  • 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

ARKWIN INDUSTRIES has sponsored the creation of one or more 401k plans.

Company Name:ARKWIN INDUSTRIES
Employer identification number (EIN):111696632
NAIC Classification:336990

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE ARKWIN RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012013-01-01BRIAN GRUNTHAL
0012012-01-01BRIAN GRUNTHAL
0012011-01-01STEPHEN HOLBREICH
0012010-01-01STEPHEN HOLBREICH
0012009-01-01STEPHEN HOLBREICH STEPHEN HOLBREICH2010-10-14

Plan Statistics for THE ARKWIN RETIREMENT PLAN

401k plan membership statisitcs for THE ARKWIN RETIREMENT PLAN

Measure Date Value
2013: THE ARKWIN RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01376
Total number of active participants reported on line 7a of the Form 55002013-01-010
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-010
Total of all active and inactive participants2013-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-010
Number of participants with account balances2013-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: THE ARKWIN RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01362
Total number of active participants reported on line 7a of the Form 55002012-01-01298
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0166
Total of all active and inactive participants2012-01-01364
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01364
Number of participants with account balances2012-01-01302
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-010
2011: THE ARKWIN RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01373
Total number of active participants reported on line 7a of the Form 55002011-01-01291
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0167
Total of all active and inactive participants2011-01-01358
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01358
Number of participants with account balances2011-01-01310
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: THE ARKWIN RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-01375
Total number of active participants reported on line 7a of the Form 55002010-01-01293
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-0175
Total of all active and inactive participants2010-01-01368
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-01368
Number of participants with account balances2010-01-01329
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-010
2009: THE ARKWIN RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01392
Total number of active participants reported on line 7a of the Form 55002009-01-01312
Number of retired or separated participants receiving benefits2009-01-015
Number of other retired or separated participants entitled to future benefits2009-01-0164
Total of all active and inactive participants2009-01-01381
Total participants2009-01-01381
Number of participants with account balances2009-01-01343
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-013

Financial Data on THE ARKWIN RETIREMENT PLAN

Measure Date Value
2013 : THE ARKWIN RETIREMENT PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total transfer of assets from this plan2013-12-31$22,163,417
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
Total income from all sources (including contributions)2013-12-31$5,361,727
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$5,616,127
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$5,575,793
Expenses. Certain deemed distributions of participant loans2013-12-31$37,794
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$1,774,953
Value of total assets at end of year2013-12-31$0
Value of total assets at beginning of year2013-12-31$22,417,817
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$2,540
Total interest from all sources2013-12-31$29,276
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2013-12-31$0
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$1,308,665
Participant contributions at end of year2013-12-31$0
Participant contributions at beginning of year2013-12-31$710,782
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$73,490
Administrative expenses (other) incurred2013-12-31$2,540
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$-254,400
Value of net assets at end of year (total assets less liabilities)2013-12-31$0
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$22,417,817
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$21,707,035
Income. Interest from loans (other than to participants)2013-12-31$29,276
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$3,557,498
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31Yes
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$392,798
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$5,575,793
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-12-31Yes
Did the plan have assets held for investment2013-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31NUSSBAUM YATES BERG KLEIN & WOLPOW,
Accountancy firm EIN2013-12-31260221653
2012 : THE ARKWIN RETIREMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
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$3,784,951
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$1,420,908
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,412,992
Expenses. Certain deemed distributions of participant loans2012-12-31$7,916
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,701,970
Value of total assets at end of year2012-12-31$22,417,817
Value of total assets at beginning of year2012-12-31$20,053,774
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$0
Total interest from all sources2012-12-31$29,054
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$1,276,735
Participant contributions at end of year2012-12-31$710,782
Participant contributions at beginning of year2012-12-31$650,087
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$2,364,043
Value of net assets at end of year (total assets less liabilities)2012-12-31$22,417,817
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$20,053,774
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$21,707,035
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$19,403,687
Interest on participant loans2012-12-31$29,054
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$2,053,927
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$425,235
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,412,992
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31NUSSBAUM YATES BERG KLEIN & WOLPOW,
Accountancy firm EIN2012-12-31260221653
2011 : THE ARKWIN RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
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$1,348,040
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$1,660,559
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$1,553,555
Expenses. Certain deemed distributions of participant loans2011-12-31$107,004
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$1,654,393
Value of total assets at end of year2011-12-31$20,053,774
Value of total assets at beginning of year2011-12-31$20,366,293
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$0
Total interest from all sources2011-12-31$31,379
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$500,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$1,217,149
Participant contributions at end of year2011-12-31$650,087
Participant contributions at beginning of year2011-12-31$740,162
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$39,966
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-312,519
Value of net assets at end of year (total assets less liabilities)2011-12-31$20,053,774
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$20,366,293
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$19,403,687
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$19,626,131
Interest on participant loans2011-12-31$31,379
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-337,732
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$397,278
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$1,553,555
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31NUSSBAUM YATES BERG KLEIN & WOLPOW
Accountancy firm EIN2011-12-31260221653
2010 : THE ARKWIN RETIREMENT PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
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$3,459,420
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$2,368,178
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$2,294,803
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,599,741
Value of total assets at end of year2010-12-31$20,366,293
Value of total assets at beginning of year2010-12-31$19,275,051
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$73,375
Total interest from all sources2010-12-31$38,563
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$500,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$1,169,982
Participant contributions at end of year2010-12-31$740,162
Participant contributions at beginning of year2010-12-31$703,832
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$21,000
Administrative expenses (other) incurred2010-12-31$73,375
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Income. Non cash contributions2010-12-31$28,000
Value of net income/loss2010-12-31$1,091,242
Value of net assets at end of year (total assets less liabilities)2010-12-31$20,366,293
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$19,275,051
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$19,626,131
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$18,571,219
Interest on participant loans2010-12-31$38,563
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$1,821,116
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$380,759
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$2,294,803
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31NUSSBAUM YATES BERG KLEIN & WOLPOW
Accountancy firm EIN2010-12-31260221653

Form 5500 Responses for THE ARKWIN RETIREMENT PLAN

2013: THE ARKWIN RETIREMENT PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingYes
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: THE ARKWIN RETIREMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: THE ARKWIN RETIREMENT PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2010: THE ARKWIN RETIREMENT PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedNo
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement - TrustYes
2009: THE ARKWIN RETIREMENT PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

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