401k Plan data: DUKES, INCORPORATED 401(K) PLAN plan

DUKES, INCORPORATED 401(K) PLAN 401k Plan overview

Plan Name	DUKES, INCORPORATED 401(K) PLAN
Plan identification number	001

DUKES, INCORPORATED 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
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

DUKES, INCORPORATED has sponsored the creation of one or more 401k plans.

Company Name: DUKES, INCORPORATED

Employer identification number (EIN): 952015018

NAIC Classification: 336410

Form 5500 Filing Information

Submission information for form 5500 for 401k plan DUKES, INCORPORATED 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 CHET S. HUFFMAN 2014-12-09
001 2010-01-01 CHET S. HUFFMAN
001 2009-01-01 RANDALL HUFFMAN
001 2009-01-01 RANDALL HUFFMAN RANDALL HUFFMAN 2010-10-14
001 2009-01-01 RANDALL HUFFMAN

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2011-01-01	CHET S. HUFFMAN	2014-12-09
001	2010-01-01	CHET S. HUFFMAN
001	2009-01-01	RANDALL HUFFMAN
001	2009-01-01	RANDALL HUFFMAN		RANDALL HUFFMAN	2010-10-14
001	2009-01-01	RANDALL HUFFMAN

Plan Statistics for DUKES, INCORPORATED 401(K) PLAN

401k plan membership statisitcs for DUKES, INCORPORATED 401(K) PLAN

Measure Date Value
2010: DUKES, INCORPORATED 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 107
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 0
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 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 0
Number of participants with account balances 2010-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: DUKES, INCORPORATED 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 183
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 94
Total of all active and inactive participants 2009-01-01 107
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 107
Number of participants with account balances 2009-01-01 101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 6

Measure	Date	Value
2010: DUKES, INCORPORATED 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	107
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	0
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	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	0
Number of participants with account balances	2010-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: DUKES, INCORPORATED 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	183
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	94
Total of all active and inactive participants	2009-01-01	107
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	107
Number of participants with account balances	2009-01-01	101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	6

Financial Data on DUKES, INCORPORATED 401(K) PLAN

Measure	Date	Value
2010 : DUKES, INCORPORATED 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	$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	$75,705
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$4,384,550
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$4,370,073
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$14,459
Value of total assets at end of year	2010-12-31	$1,066
Value of total assets at beginning of year	2010-12-31	$4,309,911
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$14,477
Total interest from all sources	2010-12-31	$363
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	$250,000
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	$11,316
Participant contributions at end of year	2010-12-31	$0
Participant contributions at beginning of year	2010-12-31	$188,587
Participant contributions at end of year	2010-12-31	$840
Participant contributions at beginning of year	2010-12-31	$21,508
Other income not declared elsewhere	2010-12-31	$12,715
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	$-4,308,845
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$1,066
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$4,309,911
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	$0
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$2,969,248
Interest on participant loans	2010-12-31	$363
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$1,125,855
Net investment gain/loss from pooled separate accounts	2010-12-31	$48,168
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	$3,143
Employer contributions (assets) at end of year	2010-12-31	$226
Employer contributions (assets) at beginning of year	2010-12-31	$4,713
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$4,370,073
Contract administrator fees	2010-12-31	$14,477
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	Yes
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	KIM & LEE CORPORATION
Accountancy firm EIN	2010-12-31	954567274
Total unrealized appreciation/depreciation of assets	2010-12-29	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-29	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-29	$0
Total income from all sources (including contributions)	2010-12-29	$75,705
Total loss/gain on sale of assets	2010-12-29	$0
Total of all expenses incurred	2010-12-29	$4,384,550
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-29	$4,370,073
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-29	$14,459
Value of total assets at end of year	2010-12-29	$1,066
Value of total assets at beginning of year	2010-12-29	$4,309,911
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-29	$14,477
Total interest from all sources	2010-12-29	$363
Total dividends received (eg from common stock, registered investment company shares)	2010-12-29	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-29	No
Was this plan covered by a fidelity bond	2010-12-29	Yes
Value of fidelity bond cover	2010-12-29	$250,000
If this is an individual account plan, was there a blackout period	2010-12-29	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-29	No
Contributions received from participants	2010-12-29	$11,316
Participant contributions at beginning of year	2010-12-29	$188,587
Participant contributions at end of year	2010-12-29	$840
Participant contributions at beginning of year	2010-12-29	$21,508
Other income not declared elsewhere	2010-12-29	$12,715
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-29	No
Value of net income/loss	2010-12-29	$-4,308,845
Value of net assets at end of year (total assets less liabilities)	2010-12-29	$1,066
Value of net assets at beginning of year (total assets less liabilities)	2010-12-29	$4,309,911
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-29	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-29	No
Were any leases to which the plan was party in default or uncollectible	2010-12-29	No
Value of interest in pooled separate accounts at beginning of year	2010-12-29	$2,969,248
Interest on participant loans	2010-12-29	$363
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-29	$1,125,855
Net investment gain/loss from pooled separate accounts	2010-12-29	$48,168
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-29	No
Was there a failure to transmit to the plan any participant contributions	2010-12-29	No
Has the plan failed to provide any benefit when due under the plan	2010-12-29	No
Contributions received in cash from employer	2010-12-29	$3,143
Employer contributions (assets) at end of year	2010-12-29	$226
Employer contributions (assets) at beginning of year	2010-12-29	$4,713
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-29	$4,370,073
Contract administrator fees	2010-12-29	$14,477
Did the plan have assets held for investment	2010-12-29	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	2010-12-29	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-29	Yes
2009 : DUKES, INCORPORATED 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 DUKES, INCORPORATED 401(K) PLAN

2010: DUKES, INCORPORATED 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
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 – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: DUKES, INCORPORATED 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
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

Insurance Providers Used on plan

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )
Policy contract number	999184
Policy instance	1

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Company Name:	DUKES, INCORPORATED
Employer identification number (EIN):	952015018
NAIC Classification:	336410