401k Plan data: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN plan

REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	002

REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Stock bonus Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP.

401k Sponsoring company profile

REAVES AND COMPANY, INC. has sponsored the creation of one or more 401k plans.

Company Name: REAVES AND COMPANY, INC.

Employer identification number (EIN): 560861834

Form 5500 Filing Information

Submission information for form 5500 for 401k plan REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2009-11-01 PAUL H. REAVES
002 2008-11-01 PAUL H. REAVES
002 2008-11-01
002 2007-11-01 PAUL H. REAVES
002 2006-11-01 PAUL H. REAVES
002 2005-11-01 PAUL H. REAVES
002 2004-11-01 PAUL H. REAVES
002 2003-11-01 PAUL H. REAVES
002 2002-11-01 PAUL H. REAVES

Plan Statistics for REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2009: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-11-01 80
Total number of active participants reported on line 7a of the Form 5500 2009-11-01 0
Number of retired or separated participants receiving benefits 2009-11-01 36
Number of other retired or separated participants entitled to future benefits 2009-11-01 0
Total of all active and inactive participants 2009-11-01 36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-11-01 0
Total participants 2009-11-01 36
Number of participants with account balances 2009-11-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-11-01 25
2008: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2008 401k membership
Total participants, beginning-of-year 2008-11-01 80
Total number of active participants reported on line 7a of the Form 5500 2008-11-01 24
Number of retired or separated participants receiving benefits 2008-11-01 0
Number of other retired or separated participants entitled to future benefits 2008-11-01 56
Total of all active and inactive participants 2008-11-01 80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-11-01 0
Total participants 2008-11-01 80
Number of participants with account balances 2008-11-01 77
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2008-11-01 0
2007: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2007 401k membership
Total participants, beginning-of-year 2007-11-01 88
Total number of active participants reported on line 7a of the Form 5500 2007-11-01 40
Number of retired or separated participants receiving benefits 2007-11-01 0
Number of other retired or separated participants entitled to future benefits 2007-11-01 40
Total of all active and inactive participants 2007-11-01 80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-11-01 0
Total participants 2007-11-01 80
Number of participants with account balances 2007-11-01 78
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2007-11-01 7
2006: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2006 401k membership
Total participants, beginning-of-year 2006-11-01 75
Total number of active participants reported on line 7a of the Form 5500 2006-11-01 63
Number of retired or separated participants receiving benefits 2006-11-01 0
Number of other retired or separated participants entitled to future benefits 2006-11-01 25
Total of all active and inactive participants 2006-11-01 88
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2006-11-01 0
Total participants 2006-11-01 88
Number of participants with account balances 2006-11-01 84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2006-11-01 0
2005: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2005 401k membership
Total participants, beginning-of-year 2005-11-01 80
Total number of active participants reported on line 7a of the Form 5500 2005-11-01 49
Number of retired or separated participants receiving benefits 2005-11-01 0
Number of other retired or separated participants entitled to future benefits 2005-11-01 26
Total of all active and inactive participants 2005-11-01 75
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2005-11-01 0
Total participants 2005-11-01 75
Number of participants with account balances 2005-11-01 71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2005-11-01 9
2004: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2004 401k membership
Total participants, beginning-of-year 2004-11-01 83
Total number of active participants reported on line 7a of the Form 5500 2004-11-01 56
Number of retired or separated participants receiving benefits 2004-11-01 0
Number of other retired or separated participants entitled to future benefits 2004-11-01 15
Total of all active and inactive participants 2004-11-01 71
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2004-11-01 0
Total participants 2004-11-01 71
Number of participants with account balances 2004-11-01 71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2004-11-01 0
2003: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2003 401k membership
Total participants, beginning-of-year 2003-11-01 58
Total number of active participants reported on line 7a of the Form 5500 2003-11-01 58
Number of retired or separated participants receiving benefits 2003-11-01 0
Number of other retired or separated participants entitled to future benefits 2003-11-01 10
Total of all active and inactive participants 2003-11-01 68
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2003-11-01 0
Total participants 2003-11-01 68
Number of participants with account balances 2003-11-01 65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2003-11-01 10
2002: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2002 401k membership
Total participants, beginning-of-year 2002-11-01 77
Total number of active participants reported on line 7a of the Form 5500 2002-11-01 58
Number of retired or separated participants receiving benefits 2002-11-01 0
Number of other retired or separated participants entitled to future benefits 2002-11-01 0
Total of all active and inactive participants 2002-11-01 58
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2002-11-01 0
Total participants 2002-11-01 58
Number of participants with account balances 2002-11-01 54
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2002-11-01 0

Measure	Date	Value
2009: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-11-01	80
Total number of active participants reported on line 7a of the Form 5500	2009-11-01	0
Number of retired or separated participants receiving benefits	2009-11-01	36
Number of other retired or separated participants entitled to future benefits	2009-11-01	0
Total of all active and inactive participants	2009-11-01	36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-11-01	0
Total participants	2009-11-01	36
Number of participants with account balances	2009-11-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-11-01	25
2008: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2008 401k membership
Total participants, beginning-of-year	2008-11-01	80
Total number of active participants reported on line 7a of the Form 5500	2008-11-01	24
Number of retired or separated participants receiving benefits	2008-11-01	0
Number of other retired or separated participants entitled to future benefits	2008-11-01	56
Total of all active and inactive participants	2008-11-01	80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-11-01	0
Total participants	2008-11-01	80
Number of participants with account balances	2008-11-01	77
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2008-11-01	0
2007: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2007 401k membership
Total participants, beginning-of-year	2007-11-01	88
Total number of active participants reported on line 7a of the Form 5500	2007-11-01	40
Number of retired or separated participants receiving benefits	2007-11-01	0
Number of other retired or separated participants entitled to future benefits	2007-11-01	40
Total of all active and inactive participants	2007-11-01	80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-11-01	0
Total participants	2007-11-01	80
Number of participants with account balances	2007-11-01	78
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2007-11-01	7
2006: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2006 401k membership
Total participants, beginning-of-year	2006-11-01	75
Total number of active participants reported on line 7a of the Form 5500	2006-11-01	63
Number of retired or separated participants receiving benefits	2006-11-01	0
Number of other retired or separated participants entitled to future benefits	2006-11-01	25
Total of all active and inactive participants	2006-11-01	88
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2006-11-01	0
Total participants	2006-11-01	88
Number of participants with account balances	2006-11-01	84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2006-11-01	0
2005: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2005 401k membership
Total participants, beginning-of-year	2005-11-01	80
Total number of active participants reported on line 7a of the Form 5500	2005-11-01	49
Number of retired or separated participants receiving benefits	2005-11-01	0
Number of other retired or separated participants entitled to future benefits	2005-11-01	26
Total of all active and inactive participants	2005-11-01	75
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2005-11-01	0
Total participants	2005-11-01	75
Number of participants with account balances	2005-11-01	71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2005-11-01	9
2004: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2004 401k membership
Total participants, beginning-of-year	2004-11-01	83
Total number of active participants reported on line 7a of the Form 5500	2004-11-01	56
Number of retired or separated participants receiving benefits	2004-11-01	0
Number of other retired or separated participants entitled to future benefits	2004-11-01	15
Total of all active and inactive participants	2004-11-01	71
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2004-11-01	0
Total participants	2004-11-01	71
Number of participants with account balances	2004-11-01	71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2004-11-01	0
2003: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2003 401k membership
Total participants, beginning-of-year	2003-11-01	58
Total number of active participants reported on line 7a of the Form 5500	2003-11-01	58
Number of retired or separated participants receiving benefits	2003-11-01	0
Number of other retired or separated participants entitled to future benefits	2003-11-01	10
Total of all active and inactive participants	2003-11-01	68
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2003-11-01	0
Total participants	2003-11-01	68
Number of participants with account balances	2003-11-01	65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2003-11-01	10
2002: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2002 401k membership
Total participants, beginning-of-year	2002-11-01	77
Total number of active participants reported on line 7a of the Form 5500	2002-11-01	58
Number of retired or separated participants receiving benefits	2002-11-01	0
Number of other retired or separated participants entitled to future benefits	2002-11-01	0
Total of all active and inactive participants	2002-11-01	58
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2002-11-01	0
Total participants	2002-11-01	58
Number of participants with account balances	2002-11-01	54
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2002-11-01	0

Financial Data on REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2011 : REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total income from all sources	2011-10-31	$1,682
Expenses. Total of all expenses incurred	2011-10-31	$5,204
Benefits paid (including direct rollovers)	2011-10-31	$5,204
Total plan assets at end of year	2011-10-31	$0
Total plan assets at beginning of year	2011-10-31	$3,522
Value of fidelity bond covering the plan	2011-10-31	$200,000
Other income received	2011-10-31	$1,682
Net income (gross income less expenses)	2011-10-31	$-3,522
Net plan assets at end of year (total assets less liabilities)	2011-10-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2011-10-31	$3,522
Assets. Value of employer securities	2011-10-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-10-31	$0
2010 : REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-10-31	$0

Form 5500 Responses for REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN

2009: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-11-01	Type of plan entity	Single employer plan
2009-11-01	Submission has been amended	No
2009-11-01	This submission is the final filing	No
2009-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-11-01	Plan is a collectively bargained plan	No
2009-11-01	Plan funding arrangement – Trust	Yes
2009-11-01	Plan benefit arrangement - Trust	Yes
2008: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2008 form 5500 responses
2008-11-01	Type of plan entity	Single employer plan
2008-11-01	Submission has been amended	Yes
2008-11-01	This submission is the final filing	No
2008-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-11-01	Plan is a collectively bargained plan	No
2008-11-01	Plan funding arrangement – Trust	Yes
2008-11-01	Plan benefit arrangement - Trust	Yes
2007: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2007 form 5500 responses
2007-11-01	Type of plan entity	Single employer plan
2007-11-01	Submission has been amended	Yes
2007-11-01	This submission is the final filing	No
2007-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-11-01	Plan is a collectively bargained plan	No
2007-11-01	Plan funding arrangement – Trust	Yes
2007-11-01	Plan benefit arrangement - Trust	Yes
2006: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2006 form 5500 responses
2006-11-01	Type of plan entity	Single employer plan
2006-11-01	Submission has been amended	Yes
2006-11-01	This submission is the final filing	No
2006-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2006-11-01	Plan is a collectively bargained plan	No
2006-11-01	Plan funding arrangement – Trust	Yes
2006-11-01	Plan benefit arrangement - Trust	Yes
2005: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2005 form 5500 responses
2005-11-01	Type of plan entity	Single employer plan
2005-11-01	Submission has been amended	Yes
2005-11-01	This submission is the final filing	No
2005-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2005-11-01	Plan is a collectively bargained plan	No
2005-11-01	Plan funding arrangement – Trust	Yes
2005-11-01	Plan benefit arrangement - Trust	Yes
2004: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2004 form 5500 responses
2004-11-01	Type of plan entity	Single employer plan
2004-11-01	Submission has been amended	Yes
2004-11-01	This submission is the final filing	No
2004-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2004-11-01	Plan is a collectively bargained plan	No
2004-11-01	Plan funding arrangement – Trust	Yes
2004-11-01	Plan benefit arrangement - Trust	Yes
2003: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2003 form 5500 responses
2003-11-01	Type of plan entity	Single employer plan
2003-11-01	Submission has been amended	Yes
2003-11-01	This submission is the final filing	No
2003-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2003-11-01	Plan is a collectively bargained plan	No
2003-11-01	Plan funding arrangement – Trust	Yes
2003-11-01	Plan benefit arrangement - Trust	Yes
2002: REAVES AND COMPANY, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2002 form 5500 responses
2002-11-01	Type of plan entity	Single employer plan
2002-11-01	Submission has been amended	Yes
2002-11-01	This submission is the final filing	No
2002-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2002-11-01	Plan is a collectively bargained plan	No
2002-11-01	Plan funding arrangement – Trust	Yes
2002-11-01	Plan benefit arrangement - Trust	Yes

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Company Name:	REAVES AND COMPANY, INC.
Employer identification number (EIN):	560861834

Plan id#	Filing Submission Date	Name of Administrator
002	2009-11-01	PAUL H. REAVES
002	2008-11-01	PAUL H. REAVES
002	2008-11-01
002	2007-11-01	PAUL H. REAVES
002	2006-11-01	PAUL H. REAVES
002	2005-11-01	PAUL H. REAVES
002	2004-11-01	PAUL H. REAVES
002	2003-11-01	PAUL H. REAVES
002	2002-11-01	PAUL H. REAVES