401k Plan data: A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN plan

A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	005

A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP 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.
ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

A.M. CASTLE & CO. has sponsored the creation of one or more 401k plans.

Company Name: A.M. CASTLE & CO.

Employer identification number (EIN): 360879160

NAIC Classification: 423500

Form 5500 Filing Information

Submission information for form 5500 for 401k plan A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
005 2011-01-01 NEL CRUMBO NEL CRUMBO 2012-10-15
005 2010-01-01 NEL CRUMBO NEL CRUMBO 2011-10-13
005 2009-01-01 DANIEL BARKER NEL CRUMBO 2010-10-15
005 2009-01-01 DANIEL BARKER DANIEL BARKER 2010-10-19

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
005	2011-01-01	NEL CRUMBO	NEL CRUMBO	2012-10-15
005	2010-01-01	NEL CRUMBO	NEL CRUMBO	2011-10-13
005	2009-01-01	DANIEL BARKER	NEL CRUMBO	2010-10-15
005	2009-01-01	DANIEL BARKER	DANIEL BARKER	2010-10-19

Plan Statistics for A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2011: A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 155
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 0
Total of all active and inactive participants 2011-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 0
Number of participants with account balances 2011-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 165
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 151
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 3
Total of all active and inactive participants 2010-01-01 154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 154
Number of participants with account balances 2010-01-01 154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 170
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 159
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 6
Total of all active and inactive participants 2009-01-01 165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 165
Number of participants with account balances 2009-01-01 165
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2011: A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	155
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	0
Total of all active and inactive participants	2011-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	0
Number of participants with account balances	2011-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	165
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	151
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	3
Total of all active and inactive participants	2010-01-01	154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	154
Number of participants with account balances	2010-01-01	154
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	170
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	159
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	6
Total of all active and inactive participants	2009-01-01	165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	165
Number of participants with account balances	2009-01-01	165
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2011 : A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets	2011-12-19	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-19	$0
Total unrealized appreciation/depreciation of assets	2011-12-19	$0
Total transfer of assets to this plan	2011-12-19	$0
Total transfer of assets from this plan	2011-12-19	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-19	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-19	$0
Total income from all sources (including contributions)	2011-12-19	$-240,663
Total loss/gain on sale of assets	2011-12-19	$-240,663
Total of all expenses incurred	2011-12-19	$356,669
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-19	$356,669
Value of total corrective distributions	2011-12-19	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-19	$0
Value of total assets at end of year	2011-12-19	$0
Value of total assets at beginning of year	2011-12-19	$597,332
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-19	$0
Total income from rents	2011-12-19	$0
Total interest from all sources	2011-12-19	$0
Total dividends received (eg from common stock, registered investment company shares)	2011-12-19	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-19	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-19	$0
Administrative expenses professional fees incurred	2011-12-19	$0
Was this plan covered by a fidelity bond	2011-12-19	Yes
Value of fidelity bond cover	2011-12-19	$59,733
If this is an individual account plan, was there a blackout period	2011-12-19	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-19	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-19	No
Amount of non-exempt transactions with any party-in-interest	2011-12-19	$0
Contributions received from participants	2011-12-19	$0
Participant contributions at end of year	2011-12-19	$0
Participant contributions at beginning of year	2011-12-19	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-19	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2011-12-19	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-19	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-19	$4,255
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-19	$0
Other income not declared elsewhere	2011-12-19	$0
Administrative expenses (other) incurred	2011-12-19	$0
Liabilities. Value of operating payables at beginning of year	2011-12-19	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-19	No
Value of net income/loss	2011-12-19	$-597,332
Value of net assets at end of year (total assets less liabilities)	2011-12-19	$0
Value of net assets at beginning of year (total assets less liabilities)	2011-12-19	$597,332
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-19	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-19	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2011-12-19	$0
Were any leases to which the plan was party in default or uncollectible	2011-12-19	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2011-12-19	$0
Investment advisory and management fees	2011-12-19	$0
Income. Interest from loans (other than to participants)	2011-12-19	$0
Interest earned on other investments	2011-12-19	$0
Income. Interest from US Government securities	2011-12-19	$0
Income. Interest from corporate debt instruments	2011-12-19	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-19	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2011-12-19	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-19	$0
Net investment gain/loss from pooled separate accounts	2011-12-19	$0
Net investment gain or loss from common/collective trusts	2011-12-19	$0
Net gain/loss from 103.12 investment entities	2011-12-19	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-19	No
Was there a failure to transmit to the plan any participant contributions	2011-12-19	No
Has the plan failed to provide any benefit when due under the plan	2011-12-19	No
Assets. Invements in employer securities at end of year	2011-12-19	$0
Assets. Invements in employer securities at beginning of year	2011-12-19	$593,077
Contributions received in cash from employer	2011-12-19	$0
Employer contributions (assets) at end of year	2011-12-19	$0
Employer contributions (assets) at beginning of year	2011-12-19	$0
Income. Dividends from preferred stock	2011-12-19	$0
Income. Dividends from common stock	2011-12-19	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-19	$356,669
Contract administrator fees	2011-12-19	$0
Liabilities. Value of benefit claims payable at beginning of year	2011-12-19	$0
Did the plan have assets held for investment	2011-12-19	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	2011-12-19	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-19	Yes
Aggregate proceeds on sale of assets	2011-12-19	$362,936
Aggregate carrying amount (costs) on sale of assets	2011-12-19	$603,599
Liabilities. Value of acquisition indebtedness at beginning of year	2011-12-19	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-19	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-19	Disclaimer
Accountancy firm name	2011-12-19	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2011-12-19	390859910
2010 : A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Unrealized appreciation/depreciation of real estate assets	2010-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$152,038
Total unrealized appreciation/depreciation of assets	2010-12-31	$152,038
Total transfer of assets to this plan	2010-12-31	$0
Total transfer of assets from this plan	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	$152,368
Total loss/gain on sale of assets	2010-12-31	$329
Total of all expenses incurred	2010-12-31	$29,670
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$29,670
Value of total corrective distributions	2010-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$0
Value of total assets at end of year	2010-12-31	$597,332
Value of total assets at beginning of year	2010-12-31	$474,634
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total income from rents	2010-12-31	$0
Total interest from all sources	2010-12-31	$0
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	Yes
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$0
Administrative expenses professional fees incurred	2010-12-31	$0
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$47,463
If this is an individual account plan, was there a blackout period	2010-12-31	No
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
Amount of non-exempt transactions with any party-in-interest	2010-12-31	$0
Contributions received from participants	2010-12-31	$0
Participant contributions at end of year	2010-12-31	$0
Participant contributions at beginning of year	2010-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2010-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$4,255
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$0
Other income not declared elsewhere	2010-12-31	$1
Administrative expenses (other) incurred	2010-12-31	$0
Liabilities. Value of operating payables at beginning of year	2010-12-31	$0
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	$122,698
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$597,332
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$474,634
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2010-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2010-12-31	$0
Investment advisory and management fees	2010-12-31	$0
Income. Interest from loans (other than to participants)	2010-12-31	$0
Interest earned on other investments	2010-12-31	$0
Income. Interest from US Government securities	2010-12-31	$0
Income. Interest from corporate debt instruments	2010-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2010-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$0
Net investment gain/loss from pooled separate accounts	2010-12-31	$0
Net investment gain or loss from common/collective trusts	2010-12-31	$0
Net gain/loss from 103.12 investment entities	2010-12-31	$0
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	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$593,077
Assets. Invements in employer securities at beginning of year	2010-12-31	$474,634
Contributions received in cash from employer	2010-12-31	$0
Employer contributions (assets) at end of year	2010-12-31	$0
Employer contributions (assets) at beginning of year	2010-12-31	$0
Income. Dividends from preferred stock	2010-12-31	$0
Income. Dividends from common stock	2010-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$29,670
Contract administrator fees	2010-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2010-12-31	$0
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
Aggregate proceeds on sale of assets	2010-12-31	$34,004
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$33,675
Liabilities. Value of acquisition indebtedness at beginning of year	2010-12-31	$0
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	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2010-12-31	390859910
2009 : A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN

2011: A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	This submission is the final filing	Yes
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
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 – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: A. M. CASTLE & CO. EMPLOYEE STOCK OWNERSHIP PLAN 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

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:	A.M. CASTLE & CO.
Employer identification number (EIN):	360879160
NAIC Classification:	423500