401k Plan data: SAPPHIRE ENERGY 401K RETIREMENT PLAN plan

SAPPHIRE ENERGY 401K RETIREMENT PLAN 401k Plan overview

Plan Name	SAPPHIRE ENERGY 401K RETIREMENT PLAN
Plan identification number	001

SAPPHIRE ENERGY 401K RETIREMENT 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.
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) received services of leased employees, as defined in Code section 414(n), during the plan year.

401k Sponsoring company profile

SAPPHIRE ENERGY, INC. has sponsored the creation of one or more 401k plans.

Company Name: SAPPHIRE ENERGY, INC.

Employer identification number (EIN): 208972434

NAIC Classification: 324190

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SAPPHIRE ENERGY 401K RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01 EUGENE LANDSMAN 2018-11-12
001 2017-01-01 EUGENE LANDSMAN 2018-05-02
001 2016-01-01 EUGENE LANDSMAN 2017-09-25
001 2015-01-01 EUGENE LANDSMAN
001 2015-01-01
001 2014-01-01 STEPHANIE BAKER
001 2013-01-01 STEPHANIE BAKER
001 2012-01-01 STEPHANIE BAKER
001 2011-01-01 STEPHANIE BAKER

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2018-01-01	EUGENE LANDSMAN	2018-11-12
001	2017-01-01	EUGENE LANDSMAN	2018-05-02
001	2016-01-01	EUGENE LANDSMAN	2017-09-25
001	2015-01-01	EUGENE LANDSMAN
001	2015-01-01
001	2014-01-01	STEPHANIE BAKER
001	2013-01-01	STEPHANIE BAKER
001	2012-01-01	STEPHANIE BAKER
001	2011-01-01	STEPHANIE BAKER

Plan Statistics for SAPPHIRE ENERGY 401K RETIREMENT PLAN

401k plan membership statisitcs for SAPPHIRE ENERGY 401K RETIREMENT PLAN

Measure Date Value
2015: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 121
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 52
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 33
Total of all active and inactive participants 2015-01-01 85
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 85
Number of participants with account balances 2015-01-01 56
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 186
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 86
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 34
Total of all active and inactive participants 2014-01-01 120
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 120
Number of participants with account balances 2014-01-01 78
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 192
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 159
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 25
Total of all active and inactive participants 2013-01-01 184
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 184
Number of participants with account balances 2013-01-01 100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 169
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 177
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 17
Total of all active and inactive participants 2012-01-01 194
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 194
Number of participants with account balances 2012-01-01 91
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 124
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 168
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 7
Total of all active and inactive participants 2011-01-01 175
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 175
Number of participants with account balances 2011-01-01 67
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0

Measure	Date	Value
2015: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	121
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	52
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	33
Total of all active and inactive participants	2015-01-01	85
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	85
Number of participants with account balances	2015-01-01	56
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	186
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	86
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	34
Total of all active and inactive participants	2014-01-01	120
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	120
Number of participants with account balances	2014-01-01	78
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	192
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	159
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	25
Total of all active and inactive participants	2013-01-01	184
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	184
Number of participants with account balances	2013-01-01	100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	169
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	177
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	17
Total of all active and inactive participants	2012-01-01	194
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	194
Number of participants with account balances	2012-01-01	91
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	124
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	168
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	7
Total of all active and inactive participants	2011-01-01	175
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	175
Number of participants with account balances	2011-01-01	67
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0

Financial Data on SAPPHIRE ENERGY 401K RETIREMENT PLAN

Measure	Date	Value
2015 : SAPPHIRE ENERGY 401K RETIREMENT PLAN 2015 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$39,624
Total income from all sources (including contributions)	2015-12-31	$255,586
Total of all expenses incurred	2015-12-31	$1,101,495
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,086,073
Expenses. Certain deemed distributions of participant loans	2015-12-31	$10,524
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$336,735
Value of total assets at end of year	2015-12-31	$2,751,925
Value of total assets at beginning of year	2015-12-31	$3,637,458
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$4,898
Total interest from all sources	2015-12-31	$263
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Administrative expenses professional fees incurred	2015-12-31	$1,600
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$336,735
Participant contributions at end of year	2015-12-31	$1,890
Participant contributions at beginning of year	2015-12-31	$27,729
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$39,624
Other income not declared elsewhere	2015-12-31	$529
Administrative expenses (other) incurred	2015-12-31	$-3,054
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-845,909
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$2,751,925
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$3,597,834
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$6,352
Value of interest in pooled separate accounts at end of year	2015-12-31	$2,674,153
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$3,482,569
Interest on participant loans	2015-12-31	$263
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$75,882
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$127,160
Net investment gain/loss from pooled separate accounts	2015-12-31	$-81,941
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,086,073
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	BDO USA, LLP
Accountancy firm EIN	2015-12-31	135381590
2014 : SAPPHIRE ENERGY 401K RETIREMENT PLAN 2014 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$39,624
Total income from all sources (including contributions)	2014-12-31	$877,352
Total of all expenses incurred	2014-12-31	$992,457
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$943,626
Value of total corrective distributions	2014-12-31	$36,570
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$673,231
Value of total assets at end of year	2014-12-31	$3,637,458
Value of total assets at beginning of year	2014-12-31	$3,712,939
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$12,261
Total interest from all sources	2014-12-31	$1,990
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Administrative expenses professional fees incurred	2014-12-31	$2,122
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$673,231
Participant contributions at end of year	2014-12-31	$27,729
Participant contributions at beginning of year	2014-12-31	$65,383
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$39,624
Other income not declared elsewhere	2014-12-31	$641
Administrative expenses (other) incurred	2014-12-31	$3,054
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$-115,105
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$3,597,834
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$3,712,939
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$7,085
Value of interest in pooled separate accounts at end of year	2014-12-31	$3,482,569
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$3,587,392
Interest on participant loans	2014-12-31	$1,990
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$127,160
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$60,164
Net investment gain/loss from pooled separate accounts	2014-12-31	$201,490
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$943,626
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	BDO USA, LLP
Accountancy firm EIN	2014-12-31	135381590
2013 : SAPPHIRE ENERGY 401K RETIREMENT PLAN 2013 401k financial data
Total income from all sources (including contributions)	2013-12-31	$1,506,929
Total of all expenses incurred	2013-12-31	$124,811
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$117,445
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$961,015
Value of total assets at end of year	2013-12-31	$3,712,939
Value of total assets at beginning of year	2013-12-31	$2,330,821
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$7,366
Total interest from all sources	2013-12-31	$2,002
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Administrative expenses professional fees incurred	2013-12-31	$1,100
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$737,395
Participant contributions at end of year	2013-12-31	$65,383
Participant contributions at beginning of year	2013-12-31	$29,024
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$223,620
Other income not declared elsewhere	2013-12-31	$275
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$1,382,118
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$3,712,939
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$2,330,821
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Investment advisory and management fees	2013-12-31	$6,266
Value of interest in pooled separate accounts at end of year	2013-12-31	$3,587,392
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$2,251,014
Interest on participant loans	2013-12-31	$2,002
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$60,164
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$50,783
Net investment gain/loss from pooled separate accounts	2013-12-31	$543,637
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$117,445
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	BDO USA, LLP
Accountancy firm EIN	2013-12-31	135381590
2012 : SAPPHIRE ENERGY 401K RETIREMENT PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$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	$1,127,497
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$217,037
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$173,230
Value of total corrective distributions	2012-12-31	$37,422
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$913,516
Value of total assets at end of year	2012-12-31	$2,330,821
Value of total assets at beginning of year	2012-12-31	$1,420,361
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$6,385
Total interest from all sources	2012-12-31	$379
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 year	2012-12-31	No
Administrative expenses professional fees incurred	2012-12-31	$1,274
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
Contributions received from participants	2012-12-31	$700,831
Participant contributions at end of year	2012-12-31	$29,024
Participant contributions at beginning of year	2012-12-31	$6,051
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$212,685
Other income not declared elsewhere	2012-12-31	$331
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	$910,460
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$2,330,821
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$1,420,361
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
Investment advisory and management fees	2012-12-31	$5,111
Value of interest in pooled separate accounts at end of year	2012-12-31	$2,251,014
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$1,337,194
Interest on participant loans	2012-12-31	$379
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$50,783
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$77,116
Net investment gain/loss from pooled separate accounts	2012-12-31	$213,271
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	$173,230
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	BDO USA, LLP
Accountancy firm EIN	2012-12-31	135381590
2011 : SAPPHIRE ENERGY 401K RETIREMENT PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$1,198,087
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	$251,119
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$28,845
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$26,559
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$310,628
Value of total assets at end of year	2011-12-31	$1,420,361
Value of total assets at beginning of year	2011-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$2,286
Total interest from all sources	2011-12-31	$183
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 year	2011-12-31	No
Administrative expenses professional fees incurred	2011-12-31	$150
Was this plan covered by a fidelity bond	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
Contributions received from participants	2011-12-31	$280,976
Participant contributions at end of year	2011-12-31	$6,051
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$29,652
Other income not declared elsewhere	2011-12-31	$280
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	$222,274
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$1,420,361
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$0
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
Investment advisory and management fees	2011-12-31	$2,136
Value of interest in pooled separate accounts at end of year	2011-12-31	$1,337,194
Interest on participant loans	2011-12-31	$178
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$5
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$77,116
Net investment gain/loss from pooled separate accounts	2011-12-31	$-59,972
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	$26,559
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	BDO USA, LLP
Accountancy firm EIN	2011-12-31	135381590

Form 5500 Responses for SAPPHIRE ENERGY 401K RETIREMENT PLAN

2015: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	Yes
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	Yes
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 – 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: SAPPHIRE ENERGY 401K RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	First time form 5500 has been submitted	Yes
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 – 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

Insurance Providers Used on plan

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

802417-000

Policy instance

Insurance contract or identification number	802417-000
Number of Individuals Covered	56
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $15,911
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $15,911
Insurance broker organization code?	3
Insurance broker name	WILLIAM J PEARTREE

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

802417-000

Policy instance

Insurance contract or identification number	802417-000
Number of Individuals Covered	78
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $18,801
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $18,801
Insurance broker organization code?	3
Insurance broker name	WILLIAM J PEARTREE

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

802417-000

Policy instance

Insurance contract or identification number	802417-000
Number of Individuals Covered	100
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $14,646
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $14,646
Insurance broker organization code?	3
Insurance broker name	WILLIAM J PEARTREE

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

802417-000

Policy instance

Insurance contract or identification number	802417-000
Number of Individuals Covered	91
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $10,956
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
Commission paid to Insurance Broker	USD $10,956
Insurance broker organization code?	3
Insurance broker name	WILLIAM J PEARTREE

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

802417-000

Policy instance

Insurance contract or identification number	802417-000
Number of Individuals Covered	67
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $6,851
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:	SAPPHIRE ENERGY, INC.
Employer identification number (EIN):	208972434
NAIC Classification:	324190