401k Plan data: ALPHA EMPLOYEE STOCK OWNERSHIP PLAN plan

ALPHA EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	ALPHA EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	002

ALPHA EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Stock bonus 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). The employer maintaining this ESOP is an S Corporation

401k Sponsoring company profile

ALPHA VIDEO AND AUDIO, INC. has sponsored the creation of one or more 401k plans.

Company Name: ALPHA VIDEO AND AUDIO, INC.

Employer identification number (EIN): 410968937

NAIC Classification: 423990
NAIC Description: Other Miscellaneous Durable Goods Merchant Wholesalers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ALPHA EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2012-01-01 DAVID FARRIER
002 2011-01-01 DAVID FARRIER
002 2009-01-01 DAVID FARRIER

Plan id#	Filing Submission Date	Name of Administrator
002	2012-01-01	DAVID FARRIER
002	2011-01-01	DAVID FARRIER
002	2009-01-01	DAVID FARRIER

Plan Statistics for ALPHA EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for ALPHA EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2012: ALPHA EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 1
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
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 0
Total of all active and inactive participants 2012-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 0
Number of participants with account balances 2012-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: ALPHA EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 72
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 1
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 1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 1
Number of participants with account balances 2011-01-01 1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: ALPHA EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 62
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 71
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 3
Total of all active and inactive participants 2009-01-01 74
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 74
Number of participants with account balances 2009-01-01 25
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: ALPHA EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	1
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
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	0
Total of all active and inactive participants	2012-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	0
Number of participants with account balances	2012-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: ALPHA EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	72
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	1
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	1
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	1
Number of participants with account balances	2011-01-01	1
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: ALPHA EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	62
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	71
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	3
Total of all active and inactive participants	2009-01-01	74
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	74
Number of participants with account balances	2009-01-01	25
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on ALPHA EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2012 : ALPHA EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total income from all sources	2012-01-18	$0
Expenses. Total of all expenses incurred	2012-01-18	$83
Total plan assets at end of year	2012-01-18	$0
Total plan assets at beginning of year	2012-01-18	$83
Value of fidelity bond covering the plan	2012-01-18	$2,000,000
Expenses. Other expenses not covered elsewhere	2012-01-18	$83
Net income (gross income less expenses)	2012-01-18	$-83
Net plan assets at end of year (total assets less liabilities)	2012-01-18	$0
Net plan assets at beginning of year (total assets less liabilities)	2012-01-18	$83
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-01-18	$0
2011 : ALPHA EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total plan liabilities at beginning of year	2011-12-31	$20,104
Total income from all sources	2011-12-31	$-110,940
Expenses. Total of all expenses incurred	2011-12-31	$1,490,240
Benefits paid (including direct rollovers)	2011-12-31	$1,419,588
Total plan assets at end of year	2011-12-31	$83
Total plan assets at beginning of year	2011-12-31	$1,621,367
Value of fidelity bond covering the plan	2011-12-31	$2,000,000
Other income received	2011-12-31	$-120,940
Net income (gross income less expenses)	2011-12-31	$-1,601,180
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$83
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,601,263
Assets. Value of employer securities	2011-12-31	$0
Total contributions received or receivable from employer(s)	2011-12-31	$10,000
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$70,652
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : ALPHA EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$20,104
Total income from all sources	2010-12-31	$-364,250
Expenses. Total of all expenses incurred	2010-12-31	$81,210
Benefits paid (including direct rollovers)	2010-12-31	$53,848
Total plan assets at end of year	2010-12-31	$1,621,367
Total plan assets at beginning of year	2010-12-31	$2,046,723
Value of fidelity bond covering the plan	2010-12-31	$2,000,000
Total contributions received or receivable from participants	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$-364,250
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$-445,460
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,601,263
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$2,046,723
Assets. Value of employer securities	2010-12-31	$1,618,908
Total contributions received or receivable from employer(s)	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$27,362
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : ALPHA 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 ALPHA EMPLOYEE STOCK OWNERSHIP PLAN

2012: ALPHA EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	Yes
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: ALPHA EMPLOYEE STOCK OWNERSHIP PLAN 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: ALPHA 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	No
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

ALPHA EMPLOYEE MANAGEMENT CORP. 401(K) P/S PLAN [EIN = 264122965]

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Company Name:	ALPHA VIDEO AND AUDIO, INC.
Employer identification number (EIN):	410968937
NAIC Classification:	423990
NAIC Description:	Other Miscellaneous Durable Goods Merchant Wholesalers