401k Plan data: WALTER ENERGY, INC. 401(K) PLAN plan

WALTER ENERGY, INC. 401(K) PLAN 401k Plan overview

Plan Name	WALTER ENERGY, INC. 401(K) PLAN
Plan identification number	219

WALTER ENERGY, 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.
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. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
219 2016-01-01
219 2015-01-01 MATTHEW J. CANNOVA
219 2014-01-01 KELLI GANT
219 2013-01-01 KELLI GANT
219 2012-01-01 KELLI GANT KELLI GANT 2013-10-11
219 2011-01-01 KELLI GANT
219 2009-01-01 KELLI GANT KELLI GANT 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
219	2016-01-01
219	2015-01-01	MATTHEW J. CANNOVA
219	2014-01-01	KELLI GANT
219	2013-01-01	KELLI GANT
219	2012-01-01	KELLI GANT	KELLI GANT	2013-10-11
219	2011-01-01	KELLI GANT
219	2009-01-01	KELLI GANT	KELLI GANT	2010-10-15

Plan Statistics for WALTER ENERGY, INC. 401(K) PLAN

401k plan membership statisitcs for WALTER ENERGY, INC. 401(K) PLAN

Measure Date Value
2016: WALTER ENERGY, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 878
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
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 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: WALTER ENERGY, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 1,005
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 707
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 167
Total of all active and inactive participants 2015-01-01 874
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 4
Total participants 2015-01-01 878
Number of participants with account balances 2015-01-01 484
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 5
2014: WALTER ENERGY, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 1,052
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 831
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 170
Total of all active and inactive participants 2014-01-01 1,001
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 4
Total participants 2014-01-01 1,005
Number of participants with account balances 2014-01-01 579
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 3
2013: WALTER ENERGY, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 1,433
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 792
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 260
Total of all active and inactive participants 2013-01-01 1,052
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 1,052
Number of participants with account balances 2013-01-01 670
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 28
2012: WALTER ENERGY, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 1,200
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 1,320
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 107
Total of all active and inactive participants 2012-01-01 1,427
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 4
Total participants 2012-01-01 1,431
Number of participants with account balances 2012-01-01 750
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 8
2011: WALTER ENERGY, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 1,264
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 1,108
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 88
Total of all active and inactive participants 2011-01-01 1,196
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 4
Total participants 2011-01-01 1,200
Number of participants with account balances 2011-01-01 670
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2009: WALTER ENERGY, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 1,178
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 947
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 89
Total of all active and inactive participants 2009-01-01 1,036
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 1,036
Number of participants with account balances 2009-01-01 412
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2016: WALTER ENERGY, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	878
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
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	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: WALTER ENERGY, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	1,005
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	707
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	167
Total of all active and inactive participants	2015-01-01	874
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	4
Total participants	2015-01-01	878
Number of participants with account balances	2015-01-01	484
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	5
2014: WALTER ENERGY, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	1,052
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	831
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	170
Total of all active and inactive participants	2014-01-01	1,001
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	4
Total participants	2014-01-01	1,005
Number of participants with account balances	2014-01-01	579
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	3
2013: WALTER ENERGY, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	1,433
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	792
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	260
Total of all active and inactive participants	2013-01-01	1,052
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	1,052
Number of participants with account balances	2013-01-01	670
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	28
2012: WALTER ENERGY, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	1,200
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	1,320
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	107
Total of all active and inactive participants	2012-01-01	1,427
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	4
Total participants	2012-01-01	1,431
Number of participants with account balances	2012-01-01	750
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	8
2011: WALTER ENERGY, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	1,264
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	1,108
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	88
Total of all active and inactive participants	2011-01-01	1,196
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	4
Total participants	2011-01-01	1,200
Number of participants with account balances	2011-01-01	670
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2009: WALTER ENERGY, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	1,178
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	947
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	89
Total of all active and inactive participants	2009-01-01	1,036
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	1,036
Number of participants with account balances	2009-01-01	412
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on WALTER ENERGY, INC. 401(K) PLAN

Measure	Date	Value
2016 : WALTER ENERGY, INC. 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-11-30	$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	$99,962
Total loss/gain on sale of assets	2016-11-30	$0
Total of all expenses incurred	2016-11-30	$33,438,147
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-11-30	$33,417,002
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-11-30	$271,912
Value of total assets at end of year	2016-11-30	$0
Value of total assets at beginning of year	2016-11-30	$33,338,185
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-11-30	$21,145
Total interest from all sources	2016-11-30	$2,873
Total dividends received (eg from common stock, registered investment company shares)	2016-11-30	$44,640
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-11-30	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-11-30	$0
Total dividends received from registered investment company shares (eg mutual funds)	2016-11-30	$44,640
Was this plan covered by a fidelity bond	2016-11-30	Yes
Value of fidelity bond cover	2016-11-30	$10,000,000
If this is an individual account plan, was there a blackout period	2016-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2016-11-30	No
Contributions received from participants	2016-11-30	$271,912
Participant contributions at end of year	2016-11-30	$0
Participant contributions at beginning of year	2016-11-30	$630,263
Other income not declared elsewhere	2016-11-30	$-842
Administrative expenses (other) incurred	2016-11-30	$21,145
Total non interest bearing cash at end of year	2016-11-30	$0
Total non interest bearing cash at beginning of year	2016-11-30	$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	2016-11-30	No
Value of net income/loss	2016-11-30	$-33,338,185
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	$33,338,185
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-11-30	No
Were any leases to which the plan was party in default or uncollectible	2016-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-11-30	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-11-30	$32,295,688
Interest on participant loans	2016-11-30	$2,873
Value of interest in common/collective trusts at end of year	2016-11-30	$0
Value of interest in common/collective trusts at beginning of year	2016-11-30	$412,234
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-11-30	$-222,952
Net investment gain or loss from common/collective trusts	2016-11-30	$4,331
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-11-30	No
Was there a failure to transmit to the plan any participant contributions	2016-11-30	No
Has the plan failed to provide any benefit when due under the plan	2016-11-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-11-30	$33,417,002
Did the plan have assets held for investment	2016-11-30	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	2016-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-11-30	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-11-30	No
Opinion of an independent qualified public accountant for this plan	2016-11-30	Unqualified
Accountancy firm name	2016-11-30	SEE ATTACHMENT
Accountancy firm EIN	2016-11-30	121234567
2015 : WALTER ENERGY, INC. 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets from this plan	2015-12-31	$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	$2,667,963
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$7,145,843
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$7,142,813
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,876,728
Value of total assets at end of year	2015-12-31	$33,338,185
Value of total assets at beginning of year	2015-12-31	$37,823,630
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$3,030
Total interest from all sources	2015-12-31	$32,460
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$501,257
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$501,257
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$2,251,865
Participant contributions at end of year	2015-12-31	$630,263
Participant contributions at beginning of year	2015-12-31	$924,005
Participant contributions at beginning of year	2015-12-31	$90,485
Other income not declared elsewhere	2015-12-31	$-7
Administrative expenses (other) incurred	2015-12-31	$3,030
Total non interest bearing cash at end of year	2015-12-31	$0
Total non interest bearing cash at beginning of year	2015-12-31	$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	2015-12-31	No
Value of net income/loss	2015-12-31	$-4,477,880
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$33,338,185
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$37,823,630
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$32,295,688
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$30,214,691
Interest on participant loans	2015-12-31	$32,460
Value of interest in common/collective trusts at end of year	2015-12-31	$412,234
Value of interest in common/collective trusts at beginning of year	2015-12-31	$6,561,549
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-802,960
Net investment gain or loss from common/collective trusts	2015-12-31	$60,485
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$624,863
Employer contributions (assets) at beginning of year	2015-12-31	$32,900
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$7,142,813
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	MCGLADREY LLP
Accountancy firm EIN	2015-12-31	420714325
2014 : WALTER ENERGY, INC. 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$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	$0
Total income from all sources (including contributions)	2014-12-31	$5,801,727
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$6,257,845
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$6,256,314
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$3,588,956
Value of total assets at end of year	2014-12-31	$37,823,630
Value of total assets at beginning of year	2014-12-31	$38,279,057
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$1,531
Total interest from all sources	2014-12-31	$36,746
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$1,943,649
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$1,943,649
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$2,600,809
Participant contributions at end of year	2014-12-31	$924,005
Participant contributions at beginning of year	2014-12-31	$789,587
Participant contributions at end of year	2014-12-31	$90,485
Participant contributions at beginning of year	2014-12-31	$117,135
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$74,011
Other income not declared elsewhere	2014-12-31	$415
Administrative expenses (other) incurred	2014-12-31	$1,531
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$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	2014-12-31	No
Value of net income/loss	2014-12-31	$-456,118
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$37,823,630
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$38,279,057
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$30,214,691
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$31,389,090
Interest on participant loans	2014-12-31	$36,746
Value of interest in common/collective trusts at end of year	2014-12-31	$6,561,549
Value of interest in common/collective trusts at beginning of year	2014-12-31	$5,941,000
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$184,569
Net investment gain or loss from common/collective trusts	2014-12-31	$47,392
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$914,136
Employer contributions (assets) at end of year	2014-12-31	$32,900
Employer contributions (assets) at beginning of year	2014-12-31	$42,245
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$6,256,314
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	MCGLADREY LLP
Accountancy firm EIN	2014-12-31	420714325
2013 : WALTER ENERGY, INC. 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$19,074
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
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	$11,674,201
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$3,623,833
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$3,622,893
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$5,321,479
Value of total assets at end of year	2013-12-31	$38,279,057
Value of total assets at beginning of year	2013-12-31	$30,209,615
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$940
Total interest from all sources	2013-12-31	$28,996
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$457,075
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$457,075
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$3,558,141
Participant contributions at end of year	2013-12-31	$789,587
Participant contributions at beginning of year	2013-12-31	$560,006
Participant contributions at end of year	2013-12-31	$117,135
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$403,517
Other income not declared elsewhere	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$940
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$1,213
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$8,050,368
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$38,279,057
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$30,209,615
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$31,389,090
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$24,837,277
Interest on participant loans	2013-12-31	$28,996
Value of interest in common/collective trusts at end of year	2013-12-31	$5,941,000
Value of interest in common/collective trusts at beginning of year	2013-12-31	$4,811,119
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$5,717,654
Net investment gain or loss from common/collective trusts	2013-12-31	$148,997
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$1,359,821
Employer contributions (assets) at end of year	2013-12-31	$42,245
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$3,622,893
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	SELLERS, RICHARDSON, HOLMAN, & WEST
Accountancy firm EIN	2013-12-31	262732677
2012 : WALTER ENERGY, INC. 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets from this plan	2012-12-31	$12,885
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	$8,452,280
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$1,858,529
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,848,723
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$5,309,089
Value of total assets at end of year	2012-12-31	$30,209,615
Value of total assets at beginning of year	2012-12-31	$23,628,749
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$9,806
Total interest from all sources	2012-12-31	$22,189
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$640,249
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$640,249
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
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
Contributions received from participants	2012-12-31	$3,550,072
Participant contributions at end of year	2012-12-31	$560,006
Participant contributions at beginning of year	2012-12-31	$448,049
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$253,496
Other income not declared elsewhere	2012-12-31	$-836
Administrative expenses (other) incurred	2012-12-31	$9,806
Total non interest bearing cash at end of year	2012-12-31	$1,213
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	$6,593,751
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$30,209,615
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$23,628,749
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 registered invesment companies (eg mutual funds) at end of year	2012-12-31	$24,837,277
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$18,866,268
Interest on participant loans	2012-12-31	$22,189
Value of interest in common/collective trusts at end of year	2012-12-31	$4,811,119
Value of interest in common/collective trusts at beginning of year	2012-12-31	$4,314,432
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$2,396,370
Net investment gain or loss from common/collective trusts	2012-12-31	$85,219
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	$1,505,521
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,848,723
Did the plan have assets held for investment	2012-12-31	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	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	CROWE HORWATH, LLC
Accountancy firm EIN	2012-12-31	350921680
2011 : WALTER ENERGY, INC. 401(K) PLAN 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	$3,796,889
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$1,917,691
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,812,243
Value of total corrective distributions	2011-12-31	$53,390
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$3,863,380
Value of total assets at end of year	2011-12-31	$23,628,749
Value of total assets at beginning of year	2011-12-31	$21,749,551
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$52,058
Total interest from all sources	2011-12-31	$22,306
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$289,301
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$289,301
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
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
Contributions received from participants	2011-12-31	$2,799,083
Participant contributions at end of year	2011-12-31	$448,049
Participant contributions at beginning of year	2011-12-31	$496,281
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$60,303
Other income not declared elsewhere	2011-12-31	$18,141
Administrative expenses (other) incurred	2011-12-31	$52,058
Total non interest bearing cash at beginning of year	2011-12-31	$96
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	$1,879,198
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$23,628,749
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$21,749,551
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 registered invesment companies (eg mutual funds) at end of year	2011-12-31	$18,866,268
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$17,321,329
Interest on participant loans	2011-12-31	$22,306
Value of interest in common/collective trusts at end of year	2011-12-31	$4,314,432
Value of interest in common/collective trusts at beginning of year	2011-12-31	$3,931,845
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-493,720
Net investment gain or loss from common/collective trusts	2011-12-31	$97,481
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	$1,003,994
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,812,243
Did the plan have assets held for investment	2011-12-31	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	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	CROWE HORWATH LLC
Accountancy firm EIN	2011-12-31	350921680
2010 : WALTER ENERGY, INC. 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total transfer of assets to this plan	2010-12-31	$239,346
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	$4,847,487
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$1,800,161
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,754,180
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,565,325
Value of total assets at end of year	2010-12-31	$21,749,551
Value of total assets at beginning of year	2010-12-31	$18,462,879
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$45,981
Total interest from all sources	2010-12-31	$22,993
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$245,648
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$245,648
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$20,000,000
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	$1,836,676
Participant contributions at end of year	2010-12-31	$496,281
Participant contributions at beginning of year	2010-12-31	$417,465
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$96,750
Other income not declared elsewhere	2010-12-31	$7,474
Administrative expenses (other) incurred	2010-12-31	$45,981
Total non interest bearing cash at end of year	2010-12-31	$96
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	$3,047,326
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$21,749,551
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$18,462,879
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 registered invesment companies (eg mutual funds) at end of year	2010-12-31	$17,321,329
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$14,513,020
Interest on participant loans	2010-12-31	$22,993
Value of interest in common/collective trusts at end of year	2010-12-31	$3,931,845
Value of interest in common/collective trusts at beginning of year	2010-12-31	$3,532,394
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,902,701
Net investment gain or loss from common/collective trusts	2010-12-31	$103,346
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	$631,899
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,754,180
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	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	CROWE HORWATH LLP
Accountancy firm EIN	2010-12-31	350921680
2009 : WALTER ENERGY, 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 WALTER ENERGY, INC. 401(K) PLAN

2016: WALTER ENERGY, INC. 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: WALTER ENERGY, INC. 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: WALTER ENERGY, INC. 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: WALTER ENERGY, INC. 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: WALTER ENERGY, INC. 401(K) PLAN 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	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: WALTER ENERGY, INC. 401(K) PLAN 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	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: WALTER ENERGY, 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

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

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