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

PENGUIN COMPUTING, INC. 401(K) PLAN 401k Plan overview

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

PENGUIN COMPUTING, 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

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

Company Name: PENGUIN COMPUTING, INC.

Employer identification number (EIN): 943331151

NAIC Classification: 334110

Form 5500 Filing Information

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

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01
001 2017-01-01 LINDA CORBETT LINDA CORBETT 2018-10-15
001 2016-01-01 MAY LEUNG MAY LEUNG 2017-10-13
001 2015-01-01 LINDA CORBETT 2016-04-06 LINDA CORBETT 2016-04-06
001 2014-01-01 LINDA CORBETT 2015-04-02 LINDA CORBETT 2015-04-02
001 2013-01-01 LINDA CORBETT 2014-02-25 LINDA CORBETT 2014-02-25
001 2012-01-01 LINDA CORBETT 2013-03-04 LINDA CORBETT 2013-03-04
001 2011-01-01 GEORGE OLIVA 2012-05-16 GEORGE OLIVA 2012-05-16
001 2010-01-01 GEORGE OLIVA 2011-03-02 GEORGE OLIVA 2011-03-02
001 2009-01-01 CLAUDIA LINDQUIST

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2018-01-01
001	2017-01-01	LINDA CORBETT		LINDA CORBETT	2018-10-15
001	2016-01-01	MAY LEUNG		MAY LEUNG	2017-10-13
001	2015-01-01	LINDA CORBETT	2016-04-06	LINDA CORBETT	2016-04-06
001	2014-01-01	LINDA CORBETT	2015-04-02	LINDA CORBETT	2015-04-02
001	2013-01-01	LINDA CORBETT	2014-02-25	LINDA CORBETT	2014-02-25
001	2012-01-01	LINDA CORBETT	2013-03-04	LINDA CORBETT	2013-03-04
001	2011-01-01	GEORGE OLIVA	2012-05-16	GEORGE OLIVA	2012-05-16
001	2010-01-01	GEORGE OLIVA	2011-03-02	GEORGE OLIVA	2011-03-02
001	2009-01-01	CLAUDIA LINDQUIST

Plan Statistics for PENGUIN COMPUTING, INC. 401(K) PLAN

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

Measure Date Value
2018: PENGUIN COMPUTING, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 169
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 0
Number of participants with account balances 2018-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: PENGUIN COMPUTING, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 156
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 166
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 17
Total of all active and inactive participants 2017-01-01 183
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 1
Total participants 2017-01-01 184
Number of participants with account balances 2017-01-01 169
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: PENGUIN COMPUTING, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 125
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 133
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 17
Total of all active and inactive participants 2016-01-01 150
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 1
Total participants 2016-01-01 151
Number of participants with account balances 2016-01-01 136
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2009: PENGUIN COMPUTING, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 90
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 29
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 33
Total of all active and inactive participants 2009-01-01 62
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 62
Number of participants with account balances 2009-01-01 62
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2018: PENGUIN COMPUTING, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	169
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	0
Number of participants with account balances	2018-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: PENGUIN COMPUTING, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	156
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	166
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	17
Total of all active and inactive participants	2017-01-01	183
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	1
Total participants	2017-01-01	184
Number of participants with account balances	2017-01-01	169
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: PENGUIN COMPUTING, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	125
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	133
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	17
Total of all active and inactive participants	2016-01-01	150
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	1
Total participants	2016-01-01	151
Number of participants with account balances	2016-01-01	136
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2009: PENGUIN COMPUTING, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	90
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	29
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	33
Total of all active and inactive participants	2009-01-01	62
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	62
Number of participants with account balances	2009-01-01	62
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on PENGUIN COMPUTING, INC. 401(K) PLAN

Measure	Date	Value
2018 : PENGUIN COMPUTING, INC. 401(K) PLAN 2018 401k financial data
Unrealized appreciation/depreciation of real estate assets	2018-10-15	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2018-10-15	$0
Total unrealized appreciation/depreciation of assets	2018-10-15	$0
Total transfer of assets to this plan	2018-10-15	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-10-15	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-10-15	$0
Total income from all sources (including contributions)	2018-10-15	$1,153,462
Total loss/gain on sale of assets	2018-10-15	$0
Total of all expenses incurred	2018-10-15	$10,963,918
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-10-15	$10,962,372
Expenses. Certain deemed distributions of participant loans	2018-10-15	$0
Value of total corrective distributions	2018-10-15	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-10-15	$782,086
Value of total assets at end of year	2018-10-15	$0
Value of total assets at beginning of year	2018-10-15	$9,810,456
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-10-15	$1,546
Total income from rents	2018-10-15	$0
Total interest from all sources	2018-10-15	$4,397
Total dividends received (eg from common stock, registered investment company shares)	2018-10-15	$18,042
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-10-15	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-10-15	$18,042
Administrative expenses professional fees incurred	2018-10-15	$0
Was this plan covered by a fidelity bond	2018-10-15	Yes
Value of fidelity bond cover	2018-10-15	$500,000
If this is an individual account plan, was there a blackout period	2018-10-15	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-10-15	$0
Were there any nonexempt tranactions with any party-in-interest	2018-10-15	No
Amount of non-exempt transactions with any party-in-interest	2018-10-15	$0
Contributions received from participants	2018-10-15	$781,042
Participant contributions at end of year	2018-10-15	$0
Participant contributions at beginning of year	2018-10-15	$151,945
Participant contributions at end of year	2018-10-15	$0
Participant contributions at beginning of year	2018-10-15	$10,148
Income. Received or receivable in cash from other sources (including rollovers)	2018-10-15	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2018-10-15	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-10-15	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-10-15	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-10-15	$0
Other income not declared elsewhere	2018-10-15	$30
Administrative expenses (other) incurred	2018-10-15	$0
Liabilities. Value of operating payables at beginning of year	2018-10-15	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-10-15	No
Value of net income/loss	2018-10-15	$-9,810,456
Value of net assets at end of year (total assets less liabilities)	2018-10-15	$0
Value of net assets at beginning of year (total assets less liabilities)	2018-10-15	$9,810,456
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-10-15	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-10-15	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2018-10-15	$0
Were any leases to which the plan was party in default or uncollectible	2018-10-15	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2018-10-15	$0
Investment advisory and management fees	2018-10-15	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-10-15	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-10-15	$9,481,582
Interest on participant loans	2018-10-15	$4,038
Income. Interest from loans (other than to participants)	2018-10-15	$0
Interest earned on other investments	2018-10-15	$359
Income. Interest from US Government securities	2018-10-15	$0
Income. Interest from corporate debt instruments	2018-10-15	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-10-15	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-10-15	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-10-15	$40,413
Expenses. Payments to insurance carriers foe the provision of benefits	2018-10-15	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-10-15	$348,907
Net investment gain/loss from pooled separate accounts	2018-10-15	$0
Net investment gain or loss from common/collective trusts	2018-10-15	$0
Net gain/loss from 103.12 investment entities	2018-10-15	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-10-15	No
Was there a failure to transmit to the plan any participant contributions	2018-10-15	No
Has the plan failed to provide any benefit when due under the plan	2018-10-15	No
Contributions received in cash from employer	2018-10-15	$1,044
Employer contributions (assets) at end of year	2018-10-15	$0
Employer contributions (assets) at beginning of year	2018-10-15	$126,368
Income. Dividends from preferred stock	2018-10-15	$0
Income. Dividends from common stock	2018-10-15	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-10-15	$10,962,372
Contract administrator fees	2018-10-15	$1,546
Liabilities. Value of benefit claims payable at beginning of year	2018-10-15	$0
Did the plan have assets held for investment	2018-10-15	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	2018-10-15	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-10-15	Yes
Aggregate proceeds on sale of assets	2018-10-15	$0
Aggregate carrying amount (costs) on sale of assets	2018-10-15	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2018-10-15	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-10-15	Yes
Opinion of an independent qualified public accountant for this plan	2018-10-15	Disclaimer
Accountancy firm name	2018-10-15	SHEA LABAGH DOBBERSTEIN, CPA, INC
Accountancy firm EIN	2018-10-15	942290202
2017 : PENGUIN COMPUTING, INC. 401(K) PLAN 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets	2017-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2017-12-31	$0
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total transfer of assets to this plan	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Expenses. Interest paid	2017-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$2,874,222
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$38,541
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$37,090
Expenses. Certain deemed distributions of participant loans	2017-12-31	$0
Value of total corrective distributions	2017-12-31	$1,091
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$1,606,485
Value of total assets at end of year	2017-12-31	$9,810,456
Value of total assets at beginning of year	2017-12-31	$6,974,775
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$360
Total income from rents	2017-12-31	$0
Total interest from all sources	2017-12-31	$6,527
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$142,080
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$142,080
Administrative expenses professional fees incurred	2017-12-31	$0
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Amount of non-exempt transactions with any party-in-interest	2017-12-31	$0
Contributions received from participants	2017-12-31	$1,135,976
Participant contributions at end of year	2017-12-31	$151,945
Participant contributions at beginning of year	2017-12-31	$70,840
Participant contributions at end of year	2017-12-31	$10,148
Participant contributions at beginning of year	2017-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$302,241
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2017-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-12-31	$0
Other income not declared elsewhere	2017-12-31	$39
Administrative expenses (other) incurred	2017-12-31	$0
Liabilities. Value of operating payables at beginning of year	2017-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Income. Non cash contributions	2017-12-31	$0
Value of net income/loss	2017-12-31	$2,835,681
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$9,810,456
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$6,974,775
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2017-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2017-12-31	$0
Investment advisory and management fees	2017-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$9,481,582
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$6,772,757
Interest on participant loans	2017-12-31	$6,129
Income. Interest from loans (other than to participants)	2017-12-31	$0
Interest earned on other investments	2017-12-31	$398
Income. Interest from US Government securities	2017-12-31	$0
Income. Interest from corporate debt instruments	2017-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$40,413
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$33,053
Expenses. Payments to insurance carriers foe the provision of benefits	2017-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$1,119,091
Net investment gain/loss from pooled separate accounts	2017-12-31	$0
Net investment gain or loss from common/collective trusts	2017-12-31	$0
Net gain/loss from 103.12 investment entities	2017-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$168,268
Employer contributions (assets) at end of year	2017-12-31	$126,368
Employer contributions (assets) at beginning of year	2017-12-31	$98,125
Income. Dividends from preferred stock	2017-12-31	$0
Income. Dividends from common stock	2017-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$37,090
Contract administrator fees	2017-12-31	$360
Liabilities. Value of benefit claims payable at beginning of year	2017-12-31	$0
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Aggregate proceeds on sale of assets	2017-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2017-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2017-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	SHEA LABAGH DOBBERSTEIN, CPA, INC
Accountancy firm EIN	2017-12-31	942290202
2016 : PENGUIN COMPUTING, INC. 401(K) PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets	2016-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$0
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Expenses. Interest paid	2016-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$2,153,848
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$298,208
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$297,648
Expenses. Certain deemed distributions of participant loans	2016-12-31	$0
Value of total corrective distributions	2016-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,736,063
Value of total assets at end of year	2016-12-31	$6,974,775
Value of total assets at beginning of year	2016-12-31	$5,119,135
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$560
Total income from rents	2016-12-31	$0
Total interest from all sources	2016-12-31	$3,484
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$73,700
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$73,700
Administrative expenses professional fees incurred	2016-12-31	$0
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Amount of non-exempt transactions with any party-in-interest	2016-12-31	$0
Contributions received from participants	2016-12-31	$871,956
Participant contributions at end of year	2016-12-31	$70,840
Participant contributions at beginning of year	2016-12-31	$47,176
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$686,978
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$0
Other income not declared elsewhere	2016-12-31	$0
Administrative expenses (other) incurred	2016-12-31	$0
Liabilities. Value of operating payables at beginning of year	2016-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Income. Non cash contributions	2016-12-31	$0
Value of net income/loss	2016-12-31	$1,855,640
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$6,974,775
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$5,119,135
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2016-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2016-12-31	$0
Investment advisory and management fees	2016-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$6,772,757
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$5,045,319
Interest on participant loans	2016-12-31	$3,132
Income. Interest from loans (other than to participants)	2016-12-31	$0
Interest earned on other investments	2016-12-31	$352
Income. Interest from US Government securities	2016-12-31	$0
Income. Interest from corporate debt instruments	2016-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$33,053
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$26,640
Expenses. Payments to insurance carriers foe the provision of benefits	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$340,601
Net investment gain/loss from pooled separate accounts	2016-12-31	$0
Net investment gain or loss from common/collective trusts	2016-12-31	$0
Net gain/loss from 103.12 investment entities	2016-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$177,129
Employer contributions (assets) at end of year	2016-12-31	$98,125
Employer contributions (assets) at beginning of year	2016-12-31	$0
Income. Dividends from preferred stock	2016-12-31	$0
Income. Dividends from common stock	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$297,648
Contract administrator fees	2016-12-31	$560
Liabilities. Value of benefit claims payable at beginning of year	2016-12-31	$0
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Aggregate proceeds on sale of assets	2016-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2016-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2016-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	SHEA LABAGH DOBBERSTEIN, CPA, INC
Accountancy firm EIN	2016-12-31	942290202
2009 : PENGUIN COMPUTING, INC. 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

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

2018: PENGUIN COMPUTING, INC. 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	This submission is the final filing	Yes
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: PENGUIN COMPUTING, INC. 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: PENGUIN COMPUTING, INC. 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2009: PENGUIN COMPUTING, INC. 401(K) 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	0
Insurance policy start date	2018-01-01
Insurance policy end date	2018-10-15
Total amount of commissions paid to insurance broker	USD $110
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
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 Broker	USD $110
Amount paid for insurance broker fees	0
Insurance broker organization code?	3

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

613953

Policy instance

Insurance contract or identification number	613953
Number of Individuals Covered	184
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $89
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
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 Broker	USD $89
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	MORGAN STANLEY DW INC

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Company Name:	PENGUIN COMPUTING, INC.
Employer identification number (EIN):	943331151
NAIC Classification:	334110