401k Plan data: RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP plan

RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 401k Plan overview

Plan Name	RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP
Plan identification number	003

RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	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). 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

RICHARDS SHEET METAL WORKS has sponsored the creation of one or more 401k plans.

Company Name: RICHARDS SHEET METAL WORKS

Employer identification number (EIN): 870300994

NAIC Classification: 332900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2013-01-01 STEPHEN R. RICHARDS STEPHEN R. RICHARDS 2014-06-10
003 2012-01-01 STEPHEN R. RICHARDS STEPHEN R. RICHARDS 2013-06-23
003 2010-01-01 STEPHEN R. RICHARDS STEPHEN R. RICHARDS 2011-06-09
003 2009-01-01 STEPHEN R. RICHARDS STEPHEN R. RICHARDS 2010-06-23

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2013-01-01	STEPHEN R. RICHARDS	STEPHEN R. RICHARDS	2014-06-10
003	2012-01-01	STEPHEN R. RICHARDS	STEPHEN R. RICHARDS	2013-06-23
003	2010-01-01	STEPHEN R. RICHARDS	STEPHEN R. RICHARDS	2011-06-09
003	2009-01-01	STEPHEN R. RICHARDS	STEPHEN R. RICHARDS	2010-06-23

Plan Statistics for RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP

401k plan membership statisitcs for RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP

Measure Date Value
2013: RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2013 401k membership
Total participants, beginning-of-year 2013-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 13
Number of other retired or separated participants entitled to future benefits 2013-01-01 2
Total of all active and inactive participants 2013-01-01 15
Total participants 2013-01-01 15
Number of participants with account balances 2013-01-01 15
2012: RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2012 401k membership
Total participants, beginning-of-year 2012-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 14
Number of other retired or separated participants entitled to future benefits 2012-01-01 2
Total of all active and inactive participants 2012-01-01 16
Total participants 2012-01-01 16
Number of participants with account balances 2012-01-01 13
2010: RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2010 401k membership
Total participants, beginning-of-year 2010-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 13
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 0
Total of all active and inactive participants 2010-01-01 13
Total participants 2010-01-01 13
2009: RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2009 401k membership
Total participants, beginning-of-year 2009-01-01 13
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 13
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 0
Total of all active and inactive participants 2009-01-01 13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 13
Number of participants with account balances 2009-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2013: RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2013 401k membership
Total participants, beginning-of-year	2013-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	13
Number of other retired or separated participants entitled to future benefits	2013-01-01	2
Total of all active and inactive participants	2013-01-01	15
Total participants	2013-01-01	15
Number of participants with account balances	2013-01-01	15
2012: RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2012 401k membership
Total participants, beginning-of-year	2012-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	14
Number of other retired or separated participants entitled to future benefits	2012-01-01	2
Total of all active and inactive participants	2012-01-01	16
Total participants	2012-01-01	16
Number of participants with account balances	2012-01-01	13
2010: RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2010 401k membership
Total participants, beginning-of-year	2010-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	13
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	0
Total of all active and inactive participants	2010-01-01	13
Total participants	2010-01-01	13
2009: RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2009 401k membership
Total participants, beginning-of-year	2009-01-01	13
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	13
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	0
Total of all active and inactive participants	2009-01-01	13
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	13
Number of participants with account balances	2009-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP

Measure	Date	Value
2013 : RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2013 401k financial data
Total income from all sources	2013-12-31	$-21,071
Expenses. Total of all expenses incurred	2013-12-31	$92,991
Benefits paid (including direct rollovers)	2013-12-31	$92,991
Total plan assets at end of year	2013-12-31	$1,086,323
Total plan assets at beginning of year	2013-12-31	$1,200,385
Assets. Value of loans (other than to participants)	2013-12-31	$146,236
Other income received	2013-12-31	$-63,071
Net income (gross income less expenses)	2013-12-31	$-114,062
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,086,323
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,200,385
Assets. Value of employer securities	2013-12-31	$600,600
Total contributions received or receivable from employer(s)	2013-12-31	$42,000
2012 : RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$0
Total income from all sources	2012-12-31	$-109,853
Expenses. Total of all expenses incurred	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$1,200,385
Total plan assets at beginning of year	2012-12-31	$1,310,238
Total contributions received or receivable from participants	2012-12-31	$0
Expenses. Other expenses not covered elsewhere	2012-12-31	$0
Other income received	2012-12-31	$-109,853
Net income (gross income less expenses)	2012-12-31	$-109,853
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,200,385
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,310,238
Total contributions received or receivable from employer(s)	2012-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2012-12-31	$0
2010 : RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$151,382
Total plan liabilities at beginning of year	2010-12-31	$280,302
Total income from all sources	2010-12-31	$225,960
Expenses. Total of all expenses incurred	2010-12-31	$0
Total plan assets at end of year	2010-12-31	$1,536,323
Total plan assets at beginning of year	2010-12-31	$1,439,283
Total contributions received or receivable from participants	2010-12-31	$0
Other income received	2010-12-31	$-12,160
Net income (gross income less expenses)	2010-12-31	$225,960
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,384,941
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,158,981
Total contributions received or receivable from employer(s)	2010-12-31	$238,120
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$0
Amount contributed by the employer to the plan for this plan year	2010-12-31	$0
2009 : RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2009 401k financial data
Funding deficiency by the employer to the plan for this plan year	2009-12-31	$0
Minimum employer required contribution for this plan year	2009-12-31	$0
Amount contributed by the employer to the plan for this plan year	2009-12-31	$0

Form 5500 Responses for RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP

2013: RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2010: RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: RICHARDS SHEET METAL WORKS EMPLOYEE STOCK OWNERSHIP 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	RICHARDS SHEET METAL WORKS
Employer identification number (EIN):	870300994
NAIC Classification:	332900