401k Plan data: NEWGISTICS EMPLOYEE 401K PLAN plan

NEWGISTICS EMPLOYEE 401K PLAN 401k Plan overview

Plan Name	NEWGISTICS EMPLOYEE 401K PLAN
Plan identification number	001

NEWGISTICS EMPLOYEE 401K 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

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

Company Name: NEWGISTICS, INC.

Employer identification number (EIN): 742937236

NAIC Classification: 561900

Additional information about NEWGISTICS, INC.

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3133218

More information about NEWGISTICS, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NEWGISTICS EMPLOYEE 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 SUZIN SCIABARASI SUZIN SCIABARASI 2013-04-30
001 2011-01-01 SUZIN M. SCIABARASI SUZIN M. SCIABARASI 2012-07-25
001 2009-01-01 MICHAEL TWOMEY

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2012-01-01	SUZIN SCIABARASI	SUZIN SCIABARASI	2013-04-30
001	2011-01-01	SUZIN M. SCIABARASI	SUZIN M. SCIABARASI	2012-07-25
001	2009-01-01	MICHAEL TWOMEY

Plan Statistics for NEWGISTICS EMPLOYEE 401K PLAN

401k plan membership statisitcs for NEWGISTICS EMPLOYEE 401K PLAN

Measure Date Value
2012: NEWGISTICS EMPLOYEE 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 270
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: NEWGISTICS EMPLOYEE 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 275
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 257
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 13
Total of all active and inactive participants 2011-01-01 270
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 270
Number of participants with account balances 2011-01-01 236
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2009: NEWGISTICS EMPLOYEE 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 186
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 197
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 12
Total of all active and inactive participants 2009-01-01 209
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 209
Number of participants with account balances 2009-01-01 204
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 3

Measure	Date	Value
2012: NEWGISTICS EMPLOYEE 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	270
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: NEWGISTICS EMPLOYEE 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	275
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	257
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	13
Total of all active and inactive participants	2011-01-01	270
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	270
Number of participants with account balances	2011-01-01	236
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2009: NEWGISTICS EMPLOYEE 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	186
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	197
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	12
Total of all active and inactive participants	2009-01-01	209
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	209
Number of participants with account balances	2009-01-01	204
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	3

Financial Data on NEWGISTICS EMPLOYEE 401K PLAN

Measure	Date	Value
2012 : NEWGISTICS EMPLOYEE 401K PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-09-07	$0
Total transfer of assets from this plan	2012-09-07	$13,588,639
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-09-07	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-09-07	$0
Total income from all sources (including contributions)	2012-09-07	$2,993,324
Total loss/gain on sale of assets	2012-09-07	$0
Total of all expenses incurred	2012-09-07	$591,569
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-09-07	$587,643
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-09-07	$1,623,337
Value of total assets at end of year	2012-09-07	$0
Value of total assets at beginning of year	2012-09-07	$11,186,884
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-09-07	$3,926
Total interest from all sources	2012-09-07	$91,046
Total dividends received (eg from common stock, registered investment company shares)	2012-09-07	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-09-07	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-09-07	$0
Was this plan covered by a fidelity bond	2012-09-07	Yes
Value of fidelity bond cover	2012-09-07	$1,000,000
If this is an individual account plan, was there a blackout period	2012-09-07	Yes
Were there any nonexempt tranactions with any party-in-interest	2012-09-07	No
Contributions received from participants	2012-09-07	$976,629
Participant contributions at end of year	2012-09-07	$0
Participant contributions at beginning of year	2012-09-07	$246,591
Income. Received or receivable in cash from other sources (including rollovers)	2012-09-07	$159,047
Other income not declared elsewhere	2012-09-07	$11,300
Administrative expenses (other) incurred	2012-09-07	$3,926
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-09-07	No
Value of net income/loss	2012-09-07	$2,401,755
Value of net assets at end of year (total assets less liabilities)	2012-09-07	$0
Value of net assets at beginning of year (total assets less liabilities)	2012-09-07	$11,186,884
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-09-07	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-09-07	No
Were any leases to which the plan was party in default or uncollectible	2012-09-07	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-09-07	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-09-07	$9,835,244
Interest on participant loans	2012-09-07	$6,136
Interest earned on other investments	2012-09-07	$84,910
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-09-07	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-09-07	$1,105,049
Net investment gain/loss from pooled separate accounts	2012-09-07	$1,267,641
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-09-07	No
Was there a failure to transmit to the plan any participant contributions	2012-09-07	No
Has the plan failed to provide any benefit when due under the plan	2012-09-07	No
Contributions received in cash from employer	2012-09-07	$487,661
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-09-07	$587,643
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-09-07	Yes
Did the plan have assets held for investment	2012-09-07	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	2012-09-07	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-09-07	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-09-07	Yes
Opinion of an independent qualified public accountant for this plan	2012-09-07	Disclaimer
Accountancy firm name	2012-09-07	PEGGY S. EDGE, CPA, LLC
Accountancy firm EIN	2012-09-07	264527814
2011 : NEWGISTICS EMPLOYEE 401K 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	$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	$1,466,370
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$425,646
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$407,413
Expenses. Certain deemed distributions of participant loans	2011-12-31	$11,300
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,881,219
Value of total assets at end of year	2011-12-31	$11,186,884
Value of total assets at beginning of year	2011-12-31	$10,146,160
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$6,933
Total interest from all sources	2011-12-31	$38,925
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	$1,000,000
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	$1,255,066
Participant contributions at end of year	2011-12-31	$246,591
Participant contributions at beginning of year	2011-12-31	$230,831
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$20,457
Other income not declared elsewhere	2011-12-31	$157
Administrative expenses (other) incurred	2011-12-31	$6,933
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	$1,040,724
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$11,186,884
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$10,146,160
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 registered invesment companies (eg mutual funds) at end of year	2011-12-31	$9,835,244
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$8,897,003
Interest on participant loans	2011-12-31	$8,002
Interest earned on other investments	2011-12-31	$30,923
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$1,105,049
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$1,018,326
Net investment gain/loss from pooled separate accounts	2011-12-31	$-453,931
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	$605,696
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$407,413
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	PEGGY S. EDGE, CPA, LLC
Accountancy firm EIN	2011-12-31	264527814
2010 : NEWGISTICS EMPLOYEE 401K 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	$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	$2,973,857
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$355,252
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$352,747
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,783,401
Value of total assets at end of year	2010-12-31	$10,146,160
Value of total assets at beginning of year	2010-12-31	$7,527,555
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$2,505
Total interest from all sources	2010-12-31	$39,226
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	$1,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,101,368
Participant contributions at end of year	2010-12-31	$230,831
Participant contributions at beginning of year	2010-12-31	$148,783
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$181,618
Other income not declared elsewhere	2010-12-31	$57
Administrative expenses (other) incurred	2010-12-31	$2,505
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	$2,618,605
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$10,146,160
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$7,527,555
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 registered invesment companies (eg mutual funds) at end of year	2010-12-31	$8,897,003
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$6,481,632
Interest on participant loans	2010-12-31	$6,726
Interest earned on other investments	2010-12-31	$32,500
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$1,018,326
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$897,140
Net investment gain/loss from pooled separate accounts	2010-12-31	$1,151,173
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	$500,415
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$352,747
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	PEGGY S. EDGE, CPA, LLC
Accountancy firm EIN	2010-12-31	264527814

Form 5500 Responses for NEWGISTICS EMPLOYEE 401K PLAN

2012: NEWGISTICS EMPLOYEE 401K 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: NEWGISTICS EMPLOYEE 401K 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: NEWGISTICS EMPLOYEE 401K 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 – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	NEWGISTICS, INC.
Employer identification number (EIN):	742937236
NAIC Classification:	561900

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3133218