401k Plan data: PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION plan

PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION 401k Plan overview

Plan Name	PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION
Plan identification number	003

PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION Benefits

401k Plan Type	Defined Benefit Pension
Plan Features/Benefits	Benefits are primarily pay related Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).

401k Sponsoring company profile

EVONIK GOLDSCHMIDT CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: EVONIK GOLDSCHMIDT CORPORATION

Employer identification number (EIN): 132643296

NAIC Classification: 325100

Additional information about EVONIK GOLDSCHMIDT CORPORATION

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 0710130

More information about EVONIK GOLDSCHMIDT CORPORATION

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2012-01-01 WILLIAM DORCAS
003 2011-01-01 WILLIAM DORCAS
003 2009-01-01 WILLIAM DORCAS WILLIAM DORCAS 2010-10-14

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
003	2012-01-01	WILLIAM DORCAS
003	2011-01-01	WILLIAM DORCAS
003	2009-01-01	WILLIAM DORCAS	WILLIAM DORCAS	2010-10-14

Plan Statistics for PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION

401k plan membership statisitcs for PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION

Measure Date Value
2012: PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION 2012 401k membership
Total participants, beginning-of-year 2012-01-01 366
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 111
Number of retired or separated participants receiving benefits 2012-01-01 159
Number of other retired or separated participants entitled to future benefits 2012-01-01 73
Total of all active and inactive participants 2012-01-01 343
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 18
Total participants 2012-01-01 361
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION 2011 401k membership
Total participants, beginning-of-year 2011-01-01 370
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 117
Number of retired or separated participants receiving benefits 2011-01-01 155
Number of other retired or separated participants entitled to future benefits 2011-01-01 77
Total of all active and inactive participants 2011-01-01 349
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 17
Total participants 2011-01-01 366
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2009: PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION 2009 401k membership
Total participants, beginning-of-year 2009-01-01 382
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 132
Number of retired or separated participants receiving benefits 2009-01-01 142
Number of other retired or separated participants entitled to future benefits 2009-01-01 79
Total of all active and inactive participants 2009-01-01 353
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 25
Total participants 2009-01-01 378
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION 2012 401k membership
Total participants, beginning-of-year	2012-01-01	366
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	111
Number of retired or separated participants receiving benefits	2012-01-01	159
Number of other retired or separated participants entitled to future benefits	2012-01-01	73
Total of all active and inactive participants	2012-01-01	343
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	18
Total participants	2012-01-01	361
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION 2011 401k membership
Total participants, beginning-of-year	2011-01-01	370
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	117
Number of retired or separated participants receiving benefits	2011-01-01	155
Number of other retired or separated participants entitled to future benefits	2011-01-01	77
Total of all active and inactive participants	2011-01-01	349
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	17
Total participants	2011-01-01	366
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2009: PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION 2009 401k membership
Total participants, beginning-of-year	2009-01-01	382
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	132
Number of retired or separated participants receiving benefits	2009-01-01	142
Number of other retired or separated participants entitled to future benefits	2009-01-01	79
Total of all active and inactive participants	2009-01-01	353
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	25
Total participants	2009-01-01	378
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION

Measure	Date	Value
2012 : PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$3,964,042
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$2,024,778
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$2,024,778
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$500,000
Value of total assets at end of year	2012-12-31	$33,464,524
Value of total assets at beginning of year	2012-12-31	$31,525,260
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$0
Total interest from all sources	2012-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$1,939,264
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$33,464,524
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$31,525,260
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in master investment trust accounts at end of year	2012-12-31	$32,964,524
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$31,505,260
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$500,000
Employer contributions (assets) at end of year	2012-12-31	$500,000
Employer contributions (assets) at beginning of year	2012-12-31	$20,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$2,024,778
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	SOBEL & CO., LLC CPAS
Accountancy firm EIN	2012-12-31	221430039
2011 : PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION 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	$3,747,551
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$1,920,340
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,920,340
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$20,000
Value of total assets at end of year	2011-12-31	$31,525,260
Value of total assets at beginning of year	2011-12-31	$29,698,049
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$0
Total interest from all sources	2011-12-31	$0
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	$500,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
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	$1,827,211
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$31,525,260
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$29,698,049
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 master investment trust accounts at end of year	2011-12-31	$31,505,260
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$29,698,049
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	$20,000
Employer contributions (assets) at end of year	2011-12-31	$20,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,920,340
Did the plan have assets held for investment	2011-12-31	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	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	SOBEL & CO., LLC CPAS
Accountancy firm EIN	2011-12-31	221430039
2010 : PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION 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	$2,339,122
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$1,910,587
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,910,587
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$0
Value of total assets at end of year	2010-12-31	$29,698,049
Value of total assets at beginning of year	2010-12-31	$29,269,514
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total interest from all sources	2010-12-31	$0
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	$500,000
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
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	$428,535
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$29,698,049
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$29,269,514
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 master investment trust accounts at end of year	2010-12-31	$29,698,049
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$26,669,514
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
Employer contributions (assets) at beginning of year	2010-12-31	$2,600,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,910,587
Did the plan have assets held for investment	2010-12-31	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	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	SOBEL & CO., LLC CPAS
Accountancy firm EIN	2010-12-31	221430039
2009 : PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION 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 PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION

2012: PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION 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	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION 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	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: PENSION PLAN FOR CERTAIN UNION EES OF EVONIK GOLDSCHMIDT CORPORATION 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	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	EVONIK GOLDSCHMIDT CORPORATION
Employer identification number (EIN):	132643296
NAIC Classification:	325100

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	0710130