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WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 401k Plan overview

Plan NameWALTER ENERGY, INC. RETIREMENT SAVINGS PLAN
Plan identification number 217

WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN Benefits

401k Plan TypeDefined 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.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

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

Company Name:WALTER ENERGY, INC.
Employer identification number (EIN):133429953
NAIC Classification:551112
NAIC Description:Offices of Other Holding Companies

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
2172016-01-01
2172015-01-01MATTHEW J. CANNOVA
2172014-01-01KELLI GANT
2172013-01-01KELLI GANT
2172012-01-01KELLI GANT KELLI GANT2013-10-11
2172011-01-01KELLI GANT
2172009-01-01KELLI GANT KELLI GANT2010-10-15
2172009-01-01KELLI GANT KELLI GANT2010-10-15

Plan Statistics for WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN

401k plan membership statisitcs for WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN

Measure Date Value
2016: WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01706
Total number of active participants reported on line 7a of the Form 55002016-01-010
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-010
Total of all active and inactive participants2016-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-010
Number of participants with account balances2016-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-010
2015: WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01791
Total number of active participants reported on line 7a of the Form 55002015-01-01425
Number of retired or separated participants receiving benefits2015-01-011
Number of other retired or separated participants entitled to future benefits2015-01-01274
Total of all active and inactive participants2015-01-01700
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-016
Total participants2015-01-01706
Number of participants with account balances2015-01-01611
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0119
2014: WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01767
Total number of active participants reported on line 7a of the Form 55002014-01-01508
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01278
Total of all active and inactive participants2014-01-01786
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-014
Total participants2014-01-01790
Number of participants with account balances2014-01-01682
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-019
2013: WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01881
Total number of active participants reported on line 7a of the Form 55002013-01-01416
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01350
Total of all active and inactive participants2013-01-01766
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01766
Number of participants with account balances2013-01-01696
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0110
2012: WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01645
Total number of active participants reported on line 7a of the Form 55002012-01-01726
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01149
Total of all active and inactive participants2012-01-01875
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-013
Total participants2012-01-01878
Number of participants with account balances2012-01-01622
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-014
2011: WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01524
Total number of active participants reported on line 7a of the Form 55002011-01-01380
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0182
Total of all active and inactive participants2011-01-01462
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01462
Number of participants with account balances2011-01-01396
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-011
2009: WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01758
Total number of active participants reported on line 7a of the Form 55002009-01-01337
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01113
Total of all active and inactive participants2009-01-01450
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01450
Number of participants with account balances2009-01-01281
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-012

Financial Data on WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN

Measure Date Value
2016 : WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-11-30$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-11-30$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-11-30$0
Total income from all sources (including contributions)2016-11-30$284,564
Total loss/gain on sale of assets2016-11-30$0
Total of all expenses incurred2016-11-30$32,272,923
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-11-30$32,226,461
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-11-30$203,988
Value of total assets at end of year2016-11-30$0
Value of total assets at beginning of year2016-11-30$31,988,359
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-11-30$46,462
Total interest from all sources2016-11-30$3,781
Total dividends received (eg from common stock, registered investment company shares)2016-11-30$34,976
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-11-30Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2016-11-30$0
Total dividends received from registered investment company shares (eg mutual funds)2016-11-30$34,976
Was this plan covered by a fidelity bond2016-11-30Yes
Value of fidelity bond cover2016-11-30$10,000,000
If this is an individual account plan, was there a blackout period2016-11-30No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-11-30$0
Were there any nonexempt tranactions with any party-in-interest2016-11-30No
Contributions received from participants2016-11-30$200,635
Participant contributions at end of year2016-11-30$0
Participant contributions at beginning of year2016-11-30$651,251
Other income not declared elsewhere2016-11-30$-4,022
Administrative expenses (other) incurred2016-11-30$46,462
Total non interest bearing cash at end of year2016-11-30$0
Total non interest bearing cash at beginning of year2016-11-30$-1
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-11-30No
Value of net income/loss2016-11-30$-31,988,359
Value of net assets at end of year (total assets less liabilities)2016-11-30$0
Value of net assets at beginning of year (total assets less liabilities)2016-11-30$31,988,359
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-11-30No
Were any loans by the plan or fixed income obligations due to the plan in default2016-11-30No
Were any leases to which the plan was party in default or uncollectible2016-11-30No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-11-30$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-11-30$30,913,736
Interest on participant loans2016-11-30$3,781
Value of interest in common/collective trusts at end of year2016-11-30$0
Value of interest in common/collective trusts at beginning of year2016-11-30$423,373
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-11-30$42,386
Net investment gain or loss from common/collective trusts2016-11-30$3,455
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-11-30No
Was there a failure to transmit to the plan any participant contributions2016-11-30No
Has the plan failed to provide any benefit when due under the plan2016-11-30No
Contributions received in cash from employer2016-11-30$3,353
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-11-30$32,226,461
Did the plan have assets held for investment2016-11-30Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-11-30No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-11-30Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-11-30No
Opinion of an independent qualified public accountant for this plan2016-11-30Unqualified
Accountancy firm name2016-11-30SEE ATTACHMENT
Accountancy firm EIN2016-11-30121234567
2015 : WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total transfer of assets to this plan2015-12-31$7,565
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$1,992,939
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$6,257,426
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$6,248,818
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$2,255,583
Value of total assets at end of year2015-12-31$31,988,359
Value of total assets at beginning of year2015-12-31$36,245,281
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$8,608
Total interest from all sources2015-12-31$39,753
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$494,294
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$494,294
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$10,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$1,576,776
Participant contributions at end of year2015-12-31$651,251
Participant contributions at beginning of year2015-12-31$1,102,255
Participant contributions at beginning of year2015-12-31$58,471
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$7,987
Other income not declared elsewhere2015-12-31$353
Administrative expenses (other) incurred2015-12-31$8,608
Total non interest bearing cash at end of year2015-12-31$-1
Total non interest bearing cash at beginning of year2015-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-4,264,487
Value of net assets at end of year (total assets less liabilities)2015-12-31$31,988,359
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$36,245,281
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$30,913,736
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$27,675,389
Interest on participant loans2015-12-31$39,753
Value of interest in common/collective trusts at end of year2015-12-31$423,373
Value of interest in common/collective trusts at beginning of year2015-12-31$5,883,238
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-851,515
Net investment gain or loss from common/collective trusts2015-12-31$54,471
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$670,820
Employer contributions (assets) at beginning of year2015-12-31$1,525,928
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$6,248,818
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31MCGLADREY LLP
Accountancy firm EIN2015-12-31420714325
2014 : WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total transfer of assets from this plan2014-12-31$691
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$5,382
Total income from all sources (including contributions)2014-12-31$6,182,197
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$3,943,979
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$3,937,214
Value of total corrective distributions2014-12-31$1,027
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$4,196,979
Value of total assets at end of year2014-12-31$36,245,281
Value of total assets at beginning of year2014-12-31$34,013,136
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$5,738
Total interest from all sources2014-12-31$42,960
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$1,453,064
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$1,453,064
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$10,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$1,783,724
Participant contributions at end of year2014-12-31$1,102,255
Participant contributions at beginning of year2014-12-31$862,591
Participant contributions at end of year2014-12-31$58,471
Participant contributions at beginning of year2014-12-31$66,342
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$72,568
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$5,382
Other income not declared elsewhere2014-12-31$1,675
Administrative expenses (other) incurred2014-12-31$5,738
Total non interest bearing cash at end of year2014-12-31$0
Total non interest bearing cash at beginning of year2014-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$2,238,218
Value of net assets at end of year (total assets less liabilities)2014-12-31$36,245,281
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$34,007,754
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$27,675,389
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$25,677,588
Interest on participant loans2014-12-31$42,960
Value of interest in common/collective trusts at end of year2014-12-31$5,883,238
Value of interest in common/collective trusts at beginning of year2014-12-31$5,768,332
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$437,641
Net investment gain or loss from common/collective trusts2014-12-31$49,878
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31Yes
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$2,340,687
Employer contributions (assets) at end of year2014-12-31$1,525,928
Employer contributions (assets) at beginning of year2014-12-31$1,638,283
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$3,937,214
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31MCGLADREY LLP
Accountancy firm EIN2014-12-31420714325
2013 : WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total transfer of assets from this plan2013-12-31$19,074
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$5,382
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$11,606,777
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$5,929,298
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$5,924,865
Value of total corrective distributions2013-12-31$1,231
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$6,749,703
Value of total assets at end of year2013-12-31$34,013,136
Value of total assets at beginning of year2013-12-31$28,349,349
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$3,202
Total interest from all sources2013-12-31$34,556
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$383,066
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$383,066
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$10,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$3,951,212
Participant contributions at end of year2013-12-31$862,591
Participant contributions at beginning of year2013-12-31$845,487
Participant contributions at end of year2013-12-31$66,342
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$797,054
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2013-12-31$5,382
Other income not declared elsewhere2013-12-31$0
Administrative expenses (other) incurred2013-12-31$3,202
Total non interest bearing cash at end of year2013-12-31$0
Total non interest bearing cash at beginning of year2013-12-31$1,989
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$5,677,479
Value of net assets at end of year (total assets less liabilities)2013-12-31$34,007,754
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$28,349,349
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$25,677,588
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$19,773,133
Interest on participant loans2013-12-31$34,556
Value of interest in common/collective trusts at end of year2013-12-31$5,768,332
Value of interest in common/collective trusts at beginning of year2013-12-31$7,728,740
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$4,222,008
Net investment gain or loss from common/collective trusts2013-12-31$217,444
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31Yes
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$2,001,437
Employer contributions (assets) at end of year2013-12-31$1,638,283
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$5,924,865
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31SELLERS, RICHARDSON, HOLMAN, & WEST
Accountancy firm EIN2013-12-31262732677
2012 : WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total transfer of assets to this plan2012-12-31$8,908,401
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$6,131,037
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$7,873,385
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$7,861,745
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$3,603,353
Value of total assets at end of year2012-12-31$28,349,349
Value of total assets at beginning of year2012-12-31$21,183,296
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$11,640
Total interest from all sources2012-12-31$32,701
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$528,170
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$528,170
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$10,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$1,906,917
Participant contributions at end of year2012-12-31$845,487
Participant contributions at beginning of year2012-12-31$248,518
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$274,155
Other income not declared elsewhere2012-12-31$16,835
Administrative expenses (other) incurred2012-12-31$11,640
Total non interest bearing cash at end of year2012-12-31$1,989
Total non interest bearing cash at beginning of year2012-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$-1,742,348
Value of net assets at end of year (total assets less liabilities)2012-12-31$28,349,349
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$21,183,296
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$19,773,133
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$12,179,677
Interest on participant loans2012-12-31$32,701
Value of interest in common/collective trusts at end of year2012-12-31$7,728,740
Value of interest in common/collective trusts at beginning of year2012-12-31$8,755,101
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$1,785,424
Net investment gain or loss from common/collective trusts2012-12-31$164,554
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$1,422,281
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$7,861,745
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31CROWE HORWATH, LLC
Accountancy firm EIN2012-12-31350921680
2011 : WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$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$2,857,237
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$4,058,011
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$4,001,490
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$2,754,613
Value of total assets at end of year2011-12-31$21,183,296
Value of total assets at beginning of year2011-12-31$22,384,070
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$56,521
Total interest from all sources2011-12-31$9,327
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$201,268
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$201,268
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$20,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$1,213,477
Participant contributions at end of year2011-12-31$248,518
Participant contributions at beginning of year2011-12-31$267,995
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$274,282
Other income not declared elsewhere2011-12-31$19,068
Administrative expenses (other) incurred2011-12-31$56,521
Total non interest bearing cash at end of year2011-12-31$0
Total non interest bearing cash at beginning of year2011-12-31$831
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-1,200,774
Value of net assets at end of year (total assets less liabilities)2011-12-31$21,183,296
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$22,384,070
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$12,179,677
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$13,714,655
Interest on participant loans2011-12-31$9,327
Value of interest in common/collective trusts at end of year2011-12-31$8,755,101
Value of interest in common/collective trusts at beginning of year2011-12-31$8,400,589
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-349,500
Net investment gain or loss from common/collective trusts2011-12-31$222,461
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$1,266,854
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$4,001,490
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31CROWE HORWATH, LLC
Accountancy firm EIN2011-12-31350921680
2010 : WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total transfer of assets from this plan2010-12-31$309,821
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$4,358,760
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$5,707,745
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$5,651,774
Value of total corrective distributions2010-12-31$498
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,909,139
Value of total assets at end of year2010-12-31$22,384,070
Value of total assets at beginning of year2010-12-31$24,042,876
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$55,473
Total interest from all sources2010-12-31$11,715
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$203,959
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$203,959
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$20,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$945,883
Participant contributions at end of year2010-12-31$267,995
Participant contributions at beginning of year2010-12-31$250,863
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$120,752
Other income not declared elsewhere2010-12-31$8,039
Administrative expenses (other) incurred2010-12-31$55,473
Total non interest bearing cash at end of year2010-12-31$831
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$-1,348,985
Value of net assets at end of year (total assets less liabilities)2010-12-31$22,384,070
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$24,042,876
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$13,714,655
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$13,953,632
Interest on participant loans2010-12-31$11,715
Value of interest in common/collective trusts at end of year2010-12-31$8,400,589
Value of interest in common/collective trusts at beginning of year2010-12-31$9,838,381
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$1,902,192
Net investment gain or loss from common/collective trusts2010-12-31$323,716
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$842,504
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$5,651,774
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31CROWE HORWATH LLP
Accountancy firm EIN2010-12-31350921680
2009 : WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN

2016: WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingYes
2016-01-01This return/report is a short plan year return/report (less than 12 months)Yes
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2009: WALTER ENERGY, INC. RETIREMENT SAVINGS PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

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