401k Plan data: NAVICO, INC. 401(K) PLAN plan

NAVICO, INC. 401(K) PLAN 401k Plan overview

Plan Name	NAVICO, INC. 401(K) PLAN
Plan identification number	001

NAVICO, INC. 401(K) 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.
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.
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

NAVICO INC has sponsored the creation of one or more 401k plans.

Company Name: NAVICO INC

Employer identification number (EIN): 440624411

NAIC Classification: 334500

Additional information about NAVICO INC

Jurisdiction of Incorporation: Oklahoma Secretary Of State

Incorporation Date:

Company Identification Number: 2300449539

More information about NAVICO INC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NAVICO, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2011-01-01 HEATHER MATHIAS
001 2010-01-01 SHERRY RIDGEWAY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2011-01-01	HEATHER MATHIAS
001	2010-01-01	SHERRY RIDGEWAY

Plan Statistics for NAVICO, INC. 401(K) PLAN

401k plan membership statisitcs for NAVICO, INC. 401(K) PLAN

Measure Date Value
2011: NAVICO, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 259
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 195
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 82
Total of all active and inactive participants 2011-01-01 277
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 277
Number of participants with account balances 2011-01-01 227
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 5
2010: NAVICO, INC. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 294
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 176
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 79
Total of all active and inactive participants 2010-01-01 255
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 3
Total participants 2010-01-01 258
Number of participants with account balances 2010-01-01 221
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 60

Measure	Date	Value
2011: NAVICO, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	259
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	195
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	82
Total of all active and inactive participants	2011-01-01	277
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	277
Number of participants with account balances	2011-01-01	227
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	5
2010: NAVICO, INC. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	294
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	176
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	79
Total of all active and inactive participants	2010-01-01	255
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	3
Total participants	2010-01-01	258
Number of participants with account balances	2010-01-01	221
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	60

Financial Data on NAVICO, INC. 401(K) PLAN

Measure	Date	Value
2011 : NAVICO, INC. 401(K) PLAN 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	$29,968
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$2,810
Total income from all sources (including contributions)	2011-12-31	$965,774
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$503,882
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$501,878
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,126,041
Value of total assets at end of year	2011-12-31	$12,037,117
Value of total assets at beginning of year	2011-12-31	$11,548,067
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$2,004
Total interest from all sources	2011-12-31	$15,948
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
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$100,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$752,104
Participant contributions at end of year	2011-12-31	$340,080
Participant contributions at beginning of year	2011-12-31	$375,841
Participant contributions at end of year	2011-12-31	$25,216
Participant contributions at beginning of year	2011-12-31	$20,357
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$156,752
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$29,968
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$2,810
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	$461,892
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$12,007,149
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$11,545,257
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
Value of interest in pooled separate accounts at end of year	2011-12-31	$8,537,838
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$8,242,216
Interest on participant loans	2011-12-31	$16,927
Interest earned on other investments	2011-12-31	$-979
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$3,125,380
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$2,902,272
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$72,964
Net investment gain/loss from pooled separate accounts	2011-12-31	$-249,179
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
Contributions received in cash from employer	2011-12-31	$217,185
Employer contributions (assets) at end of year	2011-12-31	$8,603
Employer contributions (assets) at beginning of year	2011-12-31	$7,381
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$501,878
Contract administrator fees	2011-12-31	$2,004
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	GRANT THORTON, LLP
Accountancy firm EIN	2011-12-31	366055558
2010 : NAVICO, INC. 401(K) PLAN 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	$2,810
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	$1,988,240
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$2,645,496
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$2,642,464
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,102,698
Value of total assets at end of year	2010-12-31	$11,548,067
Value of total assets at beginning of year	2010-12-31	$12,202,513
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$3,032
Total interest from all sources	2010-12-31	$22,286
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
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
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
Contributions received from participants	2010-12-31	$691,932
Participant contributions at end of year	2010-12-31	$375,841
Participant contributions at beginning of year	2010-12-31	$406,006
Participant contributions at end of year	2010-12-31	$20,357
Participant contributions at beginning of year	2010-12-31	$26,331
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$191,715
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2010-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$2,810
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	$-657,256
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$11,545,257
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$12,202,513
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
Value of interest in pooled separate accounts at end of year	2010-12-31	$8,242,216
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$8,346,356
Interest on participant loans	2010-12-31	$21,232
Interest earned on other investments	2010-12-31	$1,054
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$2,902,272
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$3,415,027
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$81,084
Net investment gain/loss from pooled separate accounts	2010-12-31	$782,172
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
Contributions received in cash from employer	2010-12-31	$219,051
Employer contributions (assets) at end of year	2010-12-31	$7,381
Employer contributions (assets) at beginning of year	2010-12-31	$8,793
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$2,642,464
Contract administrator fees	2010-12-31	$3,032
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	GRANT THORTON, LLP
Accountancy firm EIN	2010-12-31	366055558

Form 5500 Responses for NAVICO, INC. 401(K) PLAN

2011: NAVICO, INC. 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	Yes
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 - Trust	Yes
2010: NAVICO, INC. 401(K) PLAN 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 - Trust	Yes

Insurance Providers Used on plan

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )

Policy contract number

91650612

Policy instance

Insurance contract or identification number	91650612
Number of Individuals Covered	227
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $23,217
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 $23,217
Insurance broker organization code?	3
Insurance broker name	JONES, CHFC, CLU GREGORY D

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 62944 )

Policy contract number

91650612

Policy instance

Insurance contract or identification number	91650612
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $25,178
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:	NAVICO INC
Employer identification number (EIN):	440624411
NAIC Classification:	334500

Jurisdiction of Incorporation:	Oklahoma Secretary Of State
Incorporation Date:
Company Identification Number:	2300449539