401k Plan data: KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST plan

KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST 401k Plan overview

Plan Name	KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST
Plan identification number	001

KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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.
Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.

401k Sponsoring company profile

KNIGHT & CARVER WIND GROUP has sponsored the creation of one or more 401k plans.

Company Name: KNIGHT & CARVER WIND GROUP

Employer identification number (EIN): 261562652

NAIC Classification: 811310
NAIC Description: Commercial and Industrial Machinery and Equipment (except Automotive and Electronic) Repair and Maintenance

Form 5500 Filing Information

Submission information for form 5500 for 401k plan KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 THOMAS A. SELF 2013-07-02
001 2011-01-01 THOMAS A. SELF
001 2010-01-01 THOMAS A. SELF
001 2009-01-01 THOMAS SELF
001 2009-01-01 THOMAS SELF 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2012-01-01	THOMAS A. SELF	2013-07-02
001	2011-01-01	THOMAS A. SELF
001	2010-01-01	THOMAS A. SELF
001	2009-01-01	THOMAS SELF
001	2009-01-01			THOMAS SELF	2010-10-15

Plan Statistics for KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST

401k plan membership statisitcs for KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST

Measure Date Value
2011: KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 164
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 0
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 58
Total of all active and inactive participants 2011-01-01 58
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 58
Number of participants with account balances 2011-01-01 58
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 214
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 0
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 164
Total of all active and inactive participants 2010-01-01 164
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 164
Number of participants with account balances 2010-01-01 164
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 126
2009: KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 110
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 196
Number of retired or separated participants receiving benefits 2009-01-01 23
Number of other retired or separated participants entitled to future benefits 2009-01-01 0
Total of all active and inactive participants 2009-01-01 219
Total participants 2009-01-01 219
Number of participants with account balances 2009-01-01 209
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 24

Measure	Date	Value
2011: KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	164
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	0
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	58
Total of all active and inactive participants	2011-01-01	58
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	58
Number of participants with account balances	2011-01-01	58
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	214
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	0
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	164
Total of all active and inactive participants	2010-01-01	164
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	164
Number of participants with account balances	2010-01-01	164
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	126
2009: KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	110
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	196
Number of retired or separated participants receiving benefits	2009-01-01	23
Number of other retired or separated participants entitled to future benefits	2009-01-01	0
Total of all active and inactive participants	2009-01-01	219
Total participants	2009-01-01	219
Number of participants with account balances	2009-01-01	209
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	24

Financial Data on KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST

Measure	Date	Value
2011 : KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$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	$3,605
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$382,139
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$360,483
Value of total corrective distributions	2011-12-31	$8,551
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$0
Value of total assets at end of year	2011-12-31	$66,499
Value of total assets at beginning of year	2011-12-31	$445,033
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$13,105
Total interest from all sources	2011-12-31	$0
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	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2011-12-31	$0
Administrative expenses professional fees incurred	2011-12-31	$11,739
Was this plan covered by a fidelity bond	2011-12-31	No
If this is an individual account plan, was there a blackout period	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
Participant contributions at beginning of year	2011-12-31	$13,675
Other income not declared elsewhere	2011-12-31	$550
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	$-378,534
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$66,499
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$445,033
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	$1,366
Value of interest in pooled separate accounts at end of year	2011-12-31	$59,078
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$406,744
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$7,421
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$24,614
Net investment gain/loss from pooled separate accounts	2011-12-31	$3,055
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	$360,483
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	DENNIS & DENNIS LLP
Accountancy firm EIN	2011-12-31	911941117
2010 : KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$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	$227,705
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$330,306
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$325,649
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$194,251
Value of total assets at end of year	2010-12-31	$445,033
Value of total assets at beginning of year	2010-12-31	$547,634
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$4,657
Total interest from all sources	2010-12-31	$13,937
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 year	2010-12-31	No
Administrative expenses professional fees incurred	2010-12-31	$3,695
Was this plan covered by a fidelity bond	2010-12-31	No
If this is an individual account plan, was there a blackout period	2010-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$168,748
Participant contributions at end of year	2010-12-31	$13,675
Participant contributions at beginning of year	2010-12-31	$5,977
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$17,387
Other income not declared elsewhere	2010-12-31	$363
Total non interest bearing cash at beginning of year	2010-12-31	$79,979
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$-102,601
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$445,033
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$547,634
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$962
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$461,678
Value of interest in pooled separate accounts at end of year	2010-12-31	$406,744
Interest on participant loans	2010-12-31	$13,934
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$3
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$24,614
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$19,270
Net investment gain/loss from pooled separate accounts	2010-12-31	$-116
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$8,116
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$325,649
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	2010-12-31	Yes
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	DENNIS & DENNIS LLP
Accountancy firm EIN	2010-12-31	911941117

Form 5500 Responses for KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST

2011: KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	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
2010: KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: KNIGHT & CARVER WIND GROUP 401K PROFIT SHARING PLAN & TRUST 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	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

801357-000

Policy instance

Insurance contract or identification number	801357-000
Number of Individuals Covered	58
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $80
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

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

Policy contract number

801357-000

Policy instance

Insurance contract or identification number	801357-000
Number of Individuals Covered	164
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $3,260
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
Commission paid to Insurance Broker	USD $3,260
Insurance broker organization code?	3
Insurance broker name	UBS FINANCIAL SERVICES

Potentially related plans

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	KNIGHT & CARVER WIND GROUP
Employer identification number (EIN):	261562652
NAIC Classification:	811310
NAIC Description:	Commercial and Industrial Machinery and Equipment (except Automotive and Electronic) Repair and Maintenance