401k Plan data: TRI COUNTY COAL, LLC 401K plan

TRI COUNTY COAL, LLC 401K 401k Plan overview

Plan Name	TRI COUNTY COAL, LLC 401K
Plan identification number	001

TRI COUNTY COAL, LLC 401K 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.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

TRI COUNTY COAL, LLC has sponsored the creation of one or more 401k plans.

Company Name: TRI COUNTY COAL, LLC

Employer identification number (EIN): 270441750

NAIC Classification: 324190

Form 5500 Filing Information

Submission information for form 5500 for 401k plan TRI COUNTY COAL, LLC 401K

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 MELANIE CAPPS
001 2013-01-01 MELANIE CAPPS MELANIE CAPPS 2014-09-18
001 2012-01-01 ARCHIBALD PARKER GARY RONALD 2013-10-03
001 2011-01-01 ARCHIBALD PARKER GARY RONALD 2012-09-25
001 2010-01-01 ARCHIBALD PARKER GARY RONALD 2011-07-28
001 2009-01-01 ARCHIBALD PARKER GARY RONALD 2010-09-30

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01	MELANIE CAPPS
001	2013-01-01	MELANIE CAPPS	MELANIE CAPPS	2014-09-18
001	2012-01-01	ARCHIBALD PARKER	GARY RONALD	2013-10-03
001	2011-01-01	ARCHIBALD PARKER	GARY RONALD	2012-09-25
001	2010-01-01	ARCHIBALD PARKER	GARY RONALD	2011-07-28
001	2009-01-01	ARCHIBALD PARKER	GARY RONALD	2010-09-30

Plan Statistics for TRI COUNTY COAL, LLC 401K

401k plan membership statisitcs for TRI COUNTY COAL, LLC 401K

Measure Date Value
2014: TRI COUNTY COAL, LLC 401K 2014 401k membership
Total participants, beginning-of-year 2014-01-01 28
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
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 0
Total of all active and inactive participants 2014-01-01 0
Total participants 2014-01-01 0
2013: TRI COUNTY COAL, LLC 401K 2013 401k membership
Total participants, beginning-of-year 2013-01-01 203
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
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 28
Total of all active and inactive participants 2013-01-01 28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 28
Number of participants with account balances 2013-01-01 28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: TRI COUNTY COAL, LLC 401K 2012 401k membership
Total participants, beginning-of-year 2012-01-01 213
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 166
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 37
Total of all active and inactive participants 2012-01-01 203
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 203
Number of participants with account balances 2012-01-01 202
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: TRI COUNTY COAL, LLC 401K 2011 401k membership
Total participants, beginning-of-year 2011-01-01 242
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 182
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 30
Total of all active and inactive participants 2011-01-01 212
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1
Total participants 2011-01-01 213
Number of participants with account balances 2011-01-01 211
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: TRI COUNTY COAL, LLC 401K 2010 401k membership
Total participants, beginning-of-year 2010-01-01 277
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 199
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 42
Total of all active and inactive participants 2010-01-01 241
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 1
Total participants 2010-01-01 242
Number of participants with account balances 2010-01-01 242
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: TRI COUNTY COAL, LLC 401K 2009 401k membership
Total participants, beginning-of-year 2009-01-01 246
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 265
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 10
Total of all active and inactive participants 2009-01-01 275
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 2
Total participants 2009-01-01 277
Number of participants with account balances 2009-01-01 277
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: TRI COUNTY COAL, LLC 401K 2014 401k membership
Total participants, beginning-of-year	2014-01-01	28
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
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	0
Total of all active and inactive participants	2014-01-01	0
Total participants	2014-01-01	0
2013: TRI COUNTY COAL, LLC 401K 2013 401k membership
Total participants, beginning-of-year	2013-01-01	203
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
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	28
Total of all active and inactive participants	2013-01-01	28
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	28
Number of participants with account balances	2013-01-01	28
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: TRI COUNTY COAL, LLC 401K 2012 401k membership
Total participants, beginning-of-year	2012-01-01	213
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	166
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	37
Total of all active and inactive participants	2012-01-01	203
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	203
Number of participants with account balances	2012-01-01	202
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: TRI COUNTY COAL, LLC 401K 2011 401k membership
Total participants, beginning-of-year	2011-01-01	242
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	182
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	30
Total of all active and inactive participants	2011-01-01	212
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1
Total participants	2011-01-01	213
Number of participants with account balances	2011-01-01	211
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: TRI COUNTY COAL, LLC 401K 2010 401k membership
Total participants, beginning-of-year	2010-01-01	277
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	199
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	42
Total of all active and inactive participants	2010-01-01	241
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	1
Total participants	2010-01-01	242
Number of participants with account balances	2010-01-01	242
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: TRI COUNTY COAL, LLC 401K 2009 401k membership
Total participants, beginning-of-year	2009-01-01	246
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	265
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	10
Total of all active and inactive participants	2009-01-01	275
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	2
Total participants	2009-01-01	277
Number of participants with account balances	2009-01-01	277
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on TRI COUNTY COAL, LLC 401K

Measure	Date	Value
2014 : TRI COUNTY COAL, LLC 401K 2014 401k financial data
Transfers to/from the plan	2014-03-07	$0
Total plan liabilities at end of year	2014-03-07	$0
Total plan liabilities at beginning of year	2014-03-07	$0
Total income from all sources	2014-03-07	$-39,206
Expenses. Total of all expenses incurred	2014-03-07	$9,443,560
Benefits paid (including direct rollovers)	2014-03-07	$9,442,785
Total plan assets at end of year	2014-03-07	$0
Total plan assets at beginning of year	2014-03-07	$9,482,766
Value of fidelity bond covering the plan	2014-03-07	$500,000
Total contributions received or receivable from participants	2014-03-07	$0
Expenses. Other expenses not covered elsewhere	2014-03-07	$0
Contributions received from other sources (not participants or employers)	2014-03-07	$0
Other income received	2014-03-07	$-39,206
Noncash contributions received	2014-03-07	$0
Net income (gross income less expenses)	2014-03-07	$-9,482,766
Net plan assets at end of year (total assets less liabilities)	2014-03-07	$0
Net plan assets at beginning of year (total assets less liabilities)	2014-03-07	$9,482,766
Total contributions received or receivable from employer(s)	2014-03-07	$0
Value of certain deemed distributions of participant loans	2014-03-07	$0
Value of corrective distributions	2014-03-07	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-03-07	$775
2013 : TRI COUNTY COAL, LLC 401K 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$0
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$0
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
Expenses. Interest paid	2013-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$3,002,487
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,039,479
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,038,868
Expenses. Certain deemed distributions of participant loans	2013-12-31	$0
Value of total corrective distributions	2013-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,717,601
Value of total assets at end of year	2013-12-31	$9,482,766
Value of total assets at beginning of year	2013-12-31	$7,519,758
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$611
Total income from rents	2013-12-31	$0
Total interest from all sources	2013-12-31	$39
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$516,724
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	$516,724
Assets. Real estate other than employer real property at end of year	2013-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2013-12-31	$0
Administrative expenses professional fees incurred	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$549,965
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$0
Participant contributions at end of year	2013-12-31	$6,759
Participant contributions at beginning of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$381,033
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Assets. Loans (other than to participants) at end of year	2013-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$611
Liabilities. Value of operating payables at end of year	2013-12-31	$0
Liabilities. Value of operating payables at beginning of year	2013-12-31	$0
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	$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	2013-12-31	No
Income. Non cash contributions	2013-12-31	$0
Value of net income/loss	2013-12-31	$1,963,008
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$9,482,766
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$7,519,758
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
Assets. partnership/joint venture interests at end of year	2013-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2013-12-31	$0
Investment advisory and management fees	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$8,842,108
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$7,172,695
Value of interest in pooled separate accounts at end of year	2013-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$0
Interest on participant loans	2013-12-31	$0
Income. Interest from loans (other than to participants)	2013-12-31	$0
Interest earned on other investments	2013-12-31	$0
Income. Interest from US Government securities	2013-12-31	$0
Income. Interest from corporate debt instruments	2013-12-31	$0
Value of interest in master investment trust accounts at end of year	2013-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$0
Value of interest in common/collective trusts at end of year	2013-12-31	$0
Value of interest in common/collective trusts at beginning of year	2013-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$628,490
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$347,063
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$347,063
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$39
Assets. Value of investments in 103.12 investment entities at end of year	2013-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2013-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$0
Asset value of US Government securities at end of year	2013-12-31	$0
Asset value of US Government securities at beginning of year	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$768,123
Net investment gain/loss from pooled separate accounts	2013-12-31	$0
Net investment gain or loss from common/collective trusts	2013-12-31	$0
Net gain/loss from 103.12 investment entities	2013-12-31	$0
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
Assets. Invements in employer securities at end of year	2013-12-31	$0
Assets. Invements in employer securities at beginning of year	2013-12-31	$0
Assets. Value of employer real property at end of year	2013-12-31	$0
Assets. Value of employer real property at beginning of year	2013-12-31	$0
Contributions received in cash from employer	2013-12-31	$786,603
Employer contributions (assets) at end of year	2013-12-31	$5,409
Employer contributions (assets) at beginning of year	2013-12-31	$0
Income. Dividends from preferred stock	2013-12-31	$0
Income. Dividends from common stock	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,038,868
Asset. Corporate debt instrument preferred debt at end of year	2013-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2013-12-31	$0
Contract administrator fees	2013-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2013-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2013-12-31	$0
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
Aggregate proceeds on sale of assets	2013-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2013-12-31	$0
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	KERBER ECK AND BRAEKEL
Accountancy firm EIN	2013-12-31	430352985
2012 : TRI COUNTY COAL, LLC 401K 2012 401k financial data
Total income from all sources (including contributions)	2012-12-31	$1,845,602
Total of all expenses incurred	2012-12-31	$352,998
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$351,888
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,089,899
Value of total assets at end of year	2012-12-31	$7,519,758
Value of total assets at beginning of year	2012-12-31	$6,027,154
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$1,110
Total interest from all sources	2012-12-31	$39
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$181,154
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	$181,154
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
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	$421,117
Administrative expenses (other) incurred	2012-12-31	$1,110
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$1,492,604
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$7,519,758
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$6,027,154
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	$7,172,695
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$5,617,312
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$347,063
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$409,842
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$409,842
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$39
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$574,510
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	$668,782
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$351,888
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	No
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	KERBER ECK AND BRAEKEL
Accountancy firm EIN	2012-12-31	430352985
2011 : TRI COUNTY COAL, LLC 401K 2011 401k financial data
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	$1,026,045
Total of all expenses incurred	2011-12-31	$750,632
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$749,029
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,207,238
Value of total assets at end of year	2011-12-31	$6,027,154
Value of total assets at beginning of year	2011-12-31	$5,751,741
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$1,603
Total interest from all sources	2011-12-31	$36
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$167,708
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	$167,708
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
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	$444,597
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$30,263
Administrative expenses (other) incurred	2011-12-31	$1,603
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	$275,413
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$6,027,154
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$5,751,741
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	$5,617,312
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$5,445,740
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$409,842
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$306,001
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$306,001
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$36
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-348,937
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	$732,378
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$749,029
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	No
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	KERBER ECK AND BRAEKEL
Accountancy firm EIN	2011-12-31	430352985
2010 : TRI COUNTY COAL, LLC 401K 2010 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$2,077,743
Total of all expenses incurred	2010-12-31	$257,402
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$257,207
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,397,806
Value of total assets at end of year	2010-12-31	$5,751,741
Value of total assets at beginning of year	2010-12-31	$3,931,400
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$195
Total interest from all sources	2010-12-31	$61
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$123,134
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	$123,134
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
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	$467,729
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$39,434
Administrative expenses (other) incurred	2010-12-31	$195
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	$1,820,341
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$5,751,741
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$3,931,400
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	$5,445,740
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$3,573,535
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$306,001
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$357,865
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$357,865
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$61
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$556,742
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	$890,643
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$257,207
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
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	KERBER ECK AND BRAEKEL LLP
Accountancy firm EIN	2010-12-31	430352985
2009 : TRI COUNTY COAL, LLC 401K 2009 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2009-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2009-12-31	$0
Total income from all sources (including contributions)	2009-12-31	$2,225,218
Total of all expenses incurred	2009-12-31	$154,259
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2009-12-31	$154,084
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2009-12-31	$1,434,816
Value of total assets at end of year	2009-12-31	$3,931,400
Value of total assets at beginning of year	2009-12-31	$1,860,441
Total of administrative expenses incurred including professional, contract, advisory and management fees	2009-12-31	$175
Total interest from all sources	2009-12-31	$2,625
Total dividends received (eg from common stock, registered investment company shares)	2009-12-31	$81,498
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2009-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2009-12-31	$81,498
Was this plan covered by a fidelity bond	2009-12-31	Yes
Value of fidelity bond cover	2009-12-31	$500,000
If this is an individual account plan, was there a blackout period	2009-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2009-12-31	No
Contributions received from participants	2009-12-31	$441,201
Participant contributions at end of year	2009-12-31	$0
Participant contributions at beginning of year	2009-12-31	$19,617
Income. Received or receivable in cash from other sources (including rollovers)	2009-12-31	$223,791
Administrative expenses (other) incurred	2009-12-31	$175
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2009-12-31	No
Value of net income/loss	2009-12-31	$2,070,959
Value of net assets at end of year (total assets less liabilities)	2009-12-31	$3,931,400
Value of net assets at beginning of year (total assets less liabilities)	2009-12-31	$1,860,441
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2009-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2009-12-31	No
Were any leases to which the plan was party in default or uncollectible	2009-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2009-12-31	$3,573,535
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2009-12-31	$1,426,247
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2009-12-31	$357,865
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2009-12-31	$395,508
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2009-12-31	$395,508
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2009-12-31	$2,625
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2009-12-31	$706,279
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2009-12-31	No
Was there a failure to transmit to the plan any participant contributions	2009-12-31	No
Has the plan failed to provide any benefit when due under the plan	2009-12-31	No
Contributions received in cash from employer	2009-12-31	$769,824
Employer contributions (assets) at end of year	2009-12-31	$0
Employer contributions (assets) at beginning of year	2009-12-31	$19,069
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2009-12-31	$154,084
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2009-12-31	No
Did the plan have assets held for investment	2009-12-31	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	2009-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2009-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2009-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2009-12-31	Qualified
Accountancy firm name	2009-12-31	KERBER ECK AND BRAEKEL LLP
Accountancy firm EIN	2009-12-31	430352985

Form 5500 Responses for TRI COUNTY COAL, LLC 401K

2014: TRI COUNTY COAL, LLC 401K 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	Yes
2014-01-01	This submission is the final filing	Yes
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
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: TRI COUNTY COAL, LLC 401K 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: TRI COUNTY COAL, LLC 401K 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: TRI COUNTY COAL, LLC 401K 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
2010: TRI COUNTY COAL, LLC 401K 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: TRI COUNTY COAL, LLC 401K 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	TRI COUNTY COAL, LLC
Employer identification number (EIN):	270441750
NAIC Classification:	324190