401k Plan data: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN plan

SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 401k Plan overview

Plan Name	SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN
Plan identification number	004

SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

UNITED WATER RESOURCES INC. has sponsored the creation of one or more 401k plans.

Company Name: UNITED WATER RESOURCES INC.

Employer identification number (EIN): 222441477

NAIC Classification: 221300

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2015-01-01 MARIE C. WAUGH
004 2014-01-01 MARIE C. WAUGH
004 2013-01-01 MARIE C. WAUGH MARIE C. WAUGH 2014-10-14
004 2012-01-01 MARIE C. WAUGH
004 2011-01-01 CHARLES T. WALL CHARLES T. WALL 2012-10-11
004 2009-01-01 CHARLES T. WALL CHARLES T. WALL 2010-10-07

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
004	2015-01-01	MARIE C. WAUGH
004	2014-01-01	MARIE C. WAUGH
004	2013-01-01	MARIE C. WAUGH	MARIE C. WAUGH	2014-10-14
004	2012-01-01	MARIE C. WAUGH
004	2011-01-01	CHARLES T. WALL	CHARLES T. WALL	2012-10-11
004	2009-01-01	CHARLES T. WALL	CHARLES T. WALL	2010-10-07

Plan Statistics for SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN

401k plan membership statisitcs for SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN

Measure Date Value
2015: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 827
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 755
Number of retired or separated participants receiving benefits 2015-01-01 19
Number of other retired or separated participants entitled to future benefits 2015-01-01 76
Total of all active and inactive participants 2015-01-01 850
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 1
Total participants 2015-01-01 851
Number of participants with account balances 2015-01-01 803
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 1
2014: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 804
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 739
Number of retired or separated participants receiving benefits 2014-01-01 20
Number of other retired or separated participants entitled to future benefits 2014-01-01 68
Total of all active and inactive participants 2014-01-01 827
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 827
Number of participants with account balances 2014-01-01 786
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 5
2013: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 771
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 711
Number of retired or separated participants receiving benefits 2013-01-01 21
Number of other retired or separated participants entitled to future benefits 2013-01-01 72
Total of all active and inactive participants 2013-01-01 804
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 804
Number of participants with account balances 2013-01-01 764
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 2
2012: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 764
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 682
Number of retired or separated participants receiving benefits 2012-01-01 15
Number of other retired or separated participants entitled to future benefits 2012-01-01 74
Total of all active and inactive participants 2012-01-01 771
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 771
Number of participants with account balances 2012-01-01 733
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 756
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 667
Number of retired or separated participants receiving benefits 2011-01-01 16
Number of other retired or separated participants entitled to future benefits 2011-01-01 81
Total of all active and inactive participants 2011-01-01 764
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 764
Number of participants with account balances 2011-01-01 727
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 5
2009: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 938
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 652
Number of retired or separated participants receiving benefits 2009-01-01 6
Number of other retired or separated participants entitled to future benefits 2009-01-01 105
Total of all active and inactive participants 2009-01-01 763
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 2
Total participants 2009-01-01 765
Number of participants with account balances 2009-01-01 735
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 9

Measure	Date	Value
2015: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	827
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	755
Number of retired or separated participants receiving benefits	2015-01-01	19
Number of other retired or separated participants entitled to future benefits	2015-01-01	76
Total of all active and inactive participants	2015-01-01	850
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	1
Total participants	2015-01-01	851
Number of participants with account balances	2015-01-01	803
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	1
2014: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	804
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	739
Number of retired or separated participants receiving benefits	2014-01-01	20
Number of other retired or separated participants entitled to future benefits	2014-01-01	68
Total of all active and inactive participants	2014-01-01	827
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	827
Number of participants with account balances	2014-01-01	786
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	5
2013: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	771
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	711
Number of retired or separated participants receiving benefits	2013-01-01	21
Number of other retired or separated participants entitled to future benefits	2013-01-01	72
Total of all active and inactive participants	2013-01-01	804
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	804
Number of participants with account balances	2013-01-01	764
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	2
2012: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	764
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	682
Number of retired or separated participants receiving benefits	2012-01-01	15
Number of other retired or separated participants entitled to future benefits	2012-01-01	74
Total of all active and inactive participants	2012-01-01	771
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	771
Number of participants with account balances	2012-01-01	733
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	756
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	667
Number of retired or separated participants receiving benefits	2011-01-01	16
Number of other retired or separated participants entitled to future benefits	2011-01-01	81
Total of all active and inactive participants	2011-01-01	764
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	764
Number of participants with account balances	2011-01-01	727
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	5
2009: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	938
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	652
Number of retired or separated participants receiving benefits	2009-01-01	6
Number of other retired or separated participants entitled to future benefits	2009-01-01	105
Total of all active and inactive participants	2009-01-01	763
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	2
Total participants	2009-01-01	765
Number of participants with account balances	2009-01-01	735
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	9

Financial Data on SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN

Measure	Date	Value
2015 : SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets to this plan	2015-12-31	$167,818
Total transfer of assets from this plan	2015-12-31	$564,610
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	$5,785,450
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$4,795,926
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$4,781,917
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$5,799,784
Value of total assets at end of year	2015-12-31	$77,481,717
Value of total assets at beginning of year	2015-12-31	$76,888,985
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$14,009
Total interest from all sources	2015-12-31	$172,810
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$3,379,183
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	$3,379,183
Administrative expenses professional fees incurred	2015-12-31	$14,009
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$2,000,000
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	$4,178,149
Participant contributions at end of year	2015-12-31	$3,752,776
Participant contributions at beginning of year	2015-12-31	$3,410,714
Participant contributions at end of year	2015-12-31	$148,898
Participant contributions at beginning of year	2015-12-31	$0
Other income not declared elsewhere	2015-12-31	$3,739
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	$989,524
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$77,481,717
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$76,888,985
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	$68,477,392
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$67,402,526
Interest on participant loans	2015-12-31	$172,810
Value of interest in common/collective trusts at end of year	2015-12-31	$4,850,640
Value of interest in common/collective trusts at beginning of year	2015-12-31	$5,919,867
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-3,571,786
Net investment gain or loss from common/collective trusts	2015-12-31	$1,720
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	$1,621,635
Employer contributions (assets) at end of year	2015-12-31	$252,011
Employer contributions (assets) at beginning of year	2015-12-31	$155,878
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$4,781,917
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	WEISERMAZARS LLP
Accountancy firm EIN	2015-12-31	131459550
2014 : SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 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	$61,032
Total transfer of assets from this plan	2014-12-31	$165,043
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	$11,138,264
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$5,693,485
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$5,683,732
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$5,298,433
Value of total assets at end of year	2014-12-31	$76,888,985
Value of total assets at beginning of year	2014-12-31	$71,548,217
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$9,753
Total interest from all sources	2014-12-31	$163,755
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$3,723,628
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	$3,723,628
Administrative expenses professional fees incurred	2014-12-31	$9,753
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$2,000,000
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	$3,820,670
Participant contributions at end of year	2014-12-31	$3,410,714
Participant contributions at beginning of year	2014-12-31	$3,227,175
Other income not declared elsewhere	2014-12-31	$-9,592
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	$5,444,779
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$76,888,985
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$71,548,217
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	$67,402,526
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$62,079,190
Interest on participant loans	2014-12-31	$163,755
Value of interest in common/collective trusts at end of year	2014-12-31	$5,919,867
Value of interest in common/collective trusts at beginning of year	2014-12-31	$6,138,051
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$1,844,607
Net investment gain or loss from common/collective trusts	2014-12-31	$117,433
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	Yes
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	$1,477,763
Employer contributions (assets) at end of year	2014-12-31	$155,878
Employer contributions (assets) at beginning of year	2014-12-31	$103,801
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$5,683,732
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	WEISERMAZARS LLP
Accountancy firm EIN	2014-12-31	131459550
2013 : SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 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	$11,776
Total transfer of assets from this plan	2013-12-31	$142,062
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	$16,752,963
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$4,431,881
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$4,421,035
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$4,958,270
Value of total assets at end of year	2013-12-31	$71,548,217
Value of total assets at beginning of year	2013-12-31	$59,357,421
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$10,846
Total interest from all sources	2013-12-31	$176,846
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$2,289,490
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	$2,289,490
Administrative expenses professional fees incurred	2013-12-31	$10,846
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$2,000,000
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	$3,512,447
Participant contributions at end of year	2013-12-31	$3,227,175
Participant contributions at beginning of year	2013-12-31	$3,235,485
Participant contributions at beginning of year	2013-12-31	$122,205
Other income not declared elsewhere	2013-12-31	$807
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	$12,321,082
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$71,548,217
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$59,357,421
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	$62,079,190
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$48,663,671
Interest on participant loans	2013-12-31	$176,846
Value of interest in common/collective trusts at end of year	2013-12-31	$6,138,051
Value of interest in common/collective trusts at beginning of year	2013-12-31	$7,289,357
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$9,424,308
Net investment gain or loss from common/collective trusts	2013-12-31	$-96,758
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	Yes
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	$1,445,823
Employer contributions (assets) at end of year	2013-12-31	$103,801
Employer contributions (assets) at beginning of year	2013-12-31	$46,703
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$4,421,035
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	WEISERMAZARS LLP
Accountancy firm EIN	2013-12-31	131459550
2012 : SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets to this plan	2012-12-31	$18,347
Total transfer of assets from this plan	2012-12-31	$48,064
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	$10,632,796
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$4,982,236
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$4,971,200
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$4,617,982
Value of total assets at end of year	2012-12-31	$59,357,421
Value of total assets at beginning of year	2012-12-31	$53,736,578
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$11,036
Total interest from all sources	2012-12-31	$178,540
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$1,234,402
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	$1,234,402
Administrative expenses professional fees incurred	2012-12-31	$11,036
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$2,000,000
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	$3,406,456
Participant contributions at end of year	2012-12-31	$3,235,485
Participant contributions at beginning of year	2012-12-31	$3,071,199
Participant contributions at end of year	2012-12-31	$122,205
Participant contributions at beginning of year	2012-12-31	$118,493
Other income not declared elsewhere	2012-12-31	$1,002
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	$5,650,560
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$59,357,421
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$53,736,578
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	$48,663,671
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$42,732,415
Interest on participant loans	2012-12-31	$178,540
Value of interest in common/collective trusts at end of year	2012-12-31	$7,289,357
Value of interest in common/collective trusts at beginning of year	2012-12-31	$7,765,897
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$4,430,654
Net investment gain or loss from common/collective trusts	2012-12-31	$170,216
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	Yes
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	$1,211,526
Employer contributions (assets) at end of year	2012-12-31	$46,703
Employer contributions (assets) at beginning of year	2012-12-31	$48,574
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$4,971,200
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	WEISERMAZARS LLP
Accountancy firm EIN	2012-12-31	061189808
2011 : SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$106,221
Total transfer of assets from this plan	2011-12-31	$112,401
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	$5,101,415
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$2,985,222
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,974,357
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$4,437,453
Value of total assets at end of year	2011-12-31	$53,736,578
Value of total assets at beginning of year	2011-12-31	$51,626,565
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$10,865
Total interest from all sources	2011-12-31	$169,927
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$940,140
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	$940,140
Administrative expenses professional fees incurred	2011-12-31	$10,865
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$2,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$3,280,421
Participant contributions at end of year	2011-12-31	$3,071,199
Participant contributions at beginning of year	2011-12-31	$2,904,267
Participant contributions at end of year	2011-12-31	$118,493
Participant contributions at beginning of year	2011-12-31	$121,377
Other income not declared elsewhere	2011-12-31	$666
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	$2,116,193
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$53,736,578
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$51,626,565
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	$42,732,415
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$42,442,062
Interest on participant loans	2011-12-31	$169,927
Value of interest in common/collective trusts at end of year	2011-12-31	$7,765,897
Value of interest in common/collective trusts at beginning of year	2011-12-31	$6,113,991
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-752,665
Net investment gain or loss from common/collective trusts	2011-12-31	$305,894
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	Yes
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	$1,157,032
Employer contributions (assets) at end of year	2011-12-31	$48,574
Employer contributions (assets) at beginning of year	2011-12-31	$44,868
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,974,357
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	WEISERMAZARS LLP
Accountancy firm EIN	2011-12-31	061189808
2010 : SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 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	$6,129
Total transfer of assets from this plan	2010-12-31	$354,058
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	$9,564,774
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$2,669,910
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$2,659,074
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$4,252,824
Value of total assets at end of year	2010-12-31	$51,329,829
Value of total assets at beginning of year	2010-12-31	$44,782,894
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$10,836
Total interest from all sources	2010-12-31	$158,465
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$5,000,000
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	$3,173,564
Participant contributions at end of year	2010-12-31	$2,904,267
Participant contributions at beginning of year	2010-12-31	$2,607,476
Participant contributions at end of year	2010-12-31	$121,377
Other income not declared elsewhere	2010-12-31	$194
Administrative expenses (other) incurred	2010-12-31	$10,836
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	$6,894,864
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$51,329,829
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$44,782,894
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	$42,442,062
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$37,164,773
Interest on participant loans	2010-12-31	$158,465
Value of interest in common/collective trusts at end of year	2010-12-31	$5,817,255
Value of interest in common/collective trusts at beginning of year	2010-12-31	$5,010,645
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$5,006,601
Net investment gain or loss from common/collective trusts	2010-12-31	$146,690
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	Yes
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	$1,079,260
Employer contributions (assets) at end of year	2010-12-31	$44,868
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$2,659,074
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	WEISERMAZARS LLP
Accountancy firm EIN	2010-12-31	061189808
2009 : SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 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 SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 401(K) PLAN

2015: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 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	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 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	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 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	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 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	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 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	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: SUEZ WATER RESOURCES INC. COLLECTIVELY BARGAINED 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	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	UNITED WATER RESOURCES INC.
Employer identification number (EIN):	222441477
NAIC Classification:	221300