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NAU HOLDING COMPANY RETIREMENT SAVINGS PLAN 401k Plan overview

Plan NameNAU HOLDING COMPANY RETIREMENT SAVINGS PLAN
Plan identification number 001

NAU HOLDING COMPANY RETIREMENT SAVINGS PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
  • 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.
  • 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.

401k Sponsoring company profile

NAU HOLDING COMPANY LLC has sponsored the creation of one or more 401k plans.

Company Name:NAU HOLDING COMPANY LLC
Employer identification number (EIN):411893807
NAIC Classification:551112
NAIC Description:Offices of Other Holding Companies

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NAU HOLDING COMPANY RETIREMENT SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012012-01-01JAMES R. KORIN
0012011-01-01SUE DEKOVIC
0012009-01-01SUE DEKOVIC SUE DEKOVIC2010-10-13

Plan Statistics for NAU HOLDING COMPANY RETIREMENT SAVINGS PLAN

401k plan membership statisitcs for NAU HOLDING COMPANY RETIREMENT SAVINGS PLAN

Measure Date Value
2012: NAU HOLDING COMPANY RETIREMENT SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01614
Total number of active participants reported on line 7a of the Form 55002012-01-010
Number of retired or separated participants receiving benefits2012-01-010
Total of all active and inactive participants2012-01-010
Total participants2012-01-010
Number of participants with account balances2012-01-010
2011: NAU HOLDING COMPANY RETIREMENT SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01477
Total number of active participants reported on line 7a of the Form 55002011-01-01559
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0154
Total of all active and inactive participants2011-01-01613
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-011
Total participants2011-01-01614
Number of participants with account balances2011-01-01533
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: NAU HOLDING COMPANY RETIREMENT SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01364
Total number of active participants reported on line 7a of the Form 55002009-01-01380
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0133
Total of all active and inactive participants2009-01-01413
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-011
Total participants2009-01-01414
Number of participants with account balances2009-01-01357
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0115

Financial Data on NAU HOLDING COMPANY RETIREMENT SAVINGS PLAN

Measure Date Value
2012 : NAU HOLDING COMPANY RETIREMENT SAVINGS PLAN 2012 401k financial data
Total transfer of assets from this plan2012-06-21$12,059,746
Total income from all sources (including contributions)2012-06-21$582,847
Total of all expenses incurred2012-06-21$581,636
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-06-21$569,549
Value of total assets at end of year2012-06-21$0
Value of total assets at beginning of year2012-06-21$12,058,535
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-06-21$12,087
Total interest from all sources2012-06-21$18,042
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-06-21No
Was this plan covered by a fidelity bond2012-06-21Yes
Value of fidelity bond cover2012-06-21$1,500,000
If this is an individual account plan, was there a blackout period2012-06-21No
Were there any nonexempt tranactions with any party-in-interest2012-06-21No
Participant contributions at end of year2012-06-21$0
Participant contributions at beginning of year2012-06-21$261,832
Administrative expenses (other) incurred2012-06-21$2,544
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-06-21No
Value of net income/loss2012-06-21$1,211
Value of net assets at end of year (total assets less liabilities)2012-06-21$0
Value of net assets at beginning of year (total assets less liabilities)2012-06-21$12,058,535
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-06-21No
Were any loans by the plan or fixed income obligations due to the plan in default2012-06-21No
Were any leases to which the plan was party in default or uncollectible2012-06-21No
Value of interest in pooled separate accounts at end of year2012-06-21$0
Value of interest in pooled separate accounts at beginning of year2012-06-21$10,479,211
Interest on participant loans2012-06-21$3,810
Interest earned on other investments2012-06-21$14,232
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-06-21$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-06-21$1,259,465
Net investment gain/loss from pooled separate accounts2012-06-21$564,805
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-06-21No
Was there a failure to transmit to the plan any participant contributions2012-06-21No
Has the plan failed to provide any benefit when due under the plan2012-06-21No
Employer contributions (assets) at beginning of year2012-06-21$58,027
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-06-21$569,549
Contract administrator fees2012-06-21$9,543
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32012-06-21No
Did the plan have assets held for investment2012-06-21Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-06-21No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-06-21Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-06-21Yes
Opinion of an independent qualified public accountant for this plan2012-06-21Disclaimer
Accountancy firm name2012-06-21SCHENCK SC
Accountancy firm EIN2012-06-21391173131
2011 : NAU HOLDING COMPANY RETIREMENT SAVINGS PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$2,422,242
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$460,080
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$452,260
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$2,971,039
Value of total assets at end of year2011-12-31$12,000,508
Value of total assets at beginning of year2011-12-31$10,038,346
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$7,820
Total interest from all sources2011-12-31$37,019
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$15,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$2,124,887
Participant contributions at end of year2011-12-31$261,832
Participant contributions at beginning of year2011-12-31$211,565
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$133,637
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$1,962,162
Value of net assets at end of year (total assets less liabilities)2011-12-31$12,000,508
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$10,038,346
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in pooled separate accounts at end of year2011-12-31$10,479,211
Value of interest in pooled separate accounts at beginning of year2011-12-31$8,833,125
Interest on participant loans2011-12-31$7,297
Interest earned on other investments2011-12-31$29,722
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$1,259,465
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$993,656
Net investment gain/loss from pooled separate accounts2011-12-31$-585,816
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$712,515
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$452,260
Contract administrator fees2011-12-31$7,820
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31CARLSON ADVISORS LLC
Accountancy firm EIN2011-12-31411504933
2010 : NAU HOLDING COMPANY RETIREMENT SAVINGS PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$3,434,932
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$592,632
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$571,600
Value of total corrective distributions2010-12-31$5,767
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$2,340,797
Value of total assets at end of year2010-12-31$10,038,346
Value of total assets at beginning of year2010-12-31$7,196,046
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$15,265
Total interest from all sources2010-12-31$33,157
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$15,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$1,566,932
Participant contributions at end of year2010-12-31$211,565
Participant contributions at beginning of year2010-12-31$116,277
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$239,241
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$2,842,300
Value of net assets at end of year (total assets less liabilities)2010-12-31$10,038,346
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$7,196,046
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in pooled separate accounts at end of year2010-12-31$8,833,125
Value of interest in pooled separate accounts at beginning of year2010-12-31$6,366,637
Interest on participant loans2010-12-31$6,387
Interest earned on other investments2010-12-31$26,770
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$993,656
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$713,132
Net investment gain/loss from pooled separate accounts2010-12-31$1,060,978
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$534,624
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$571,600
Contract administrator fees2010-12-31$15,265
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31CARLSON ADVISORS LLC
Accountancy firm EIN2010-12-31411504933
2009 : NAU HOLDING COMPANY RETIREMENT SAVINGS PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for NAU HOLDING COMPANY RETIREMENT SAVINGS PLAN

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

Insurance Providers Used on plan

MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )
Policy contract number064676
Policy instance 1
Insurance contract or identification number064676
Number of Individuals Covered0
Insurance policy start date2012-01-01
Insurance policy end date2012-06-21
Total amount of commissions paid to insurance brokerUSD $15,954
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
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 BrokerUSD $15,954
Insurance broker organization code?3
Insurance broker nameSECURIAN FINANCIAL SERVICES, INC.
MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )
Policy contract number064676
Policy instance 1
Insurance contract or identification number064676
Number of Individuals Covered614
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $56,521
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )
Policy contract number064676
Policy instance 1
Insurance contract or identification number064676
Number of Individuals Covered551
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $42,901
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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 BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $42,901
Amount paid for insurance broker fees0
Insurance broker organization code?3
Insurance broker nameSECURIAN FINANCIAL SERVICES, INC.

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