401k Plan data: LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN plan

LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN 401k Plan overview

Plan Name	LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN
Plan identification number	010

LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT 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 provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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

LIBERTY UTILITIES CO. has sponsored the creation of one or more 401k plans.

Company Name: LIBERTY UTILITIES CO.

Employer identification number (EIN): 274444001

NAIC Classification: 221100

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
010 2015-01-01 JANET COREY JANET COREY 2016-10-14
010 2014-01-01 JANET COREY JANET COREY 2015-10-15
010 2013-01-01 GEORGE TRISIC GEORGE TRISIC 2014-10-28

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
010	2015-01-01	JANET COREY	JANET COREY	2016-10-14
010	2014-01-01	JANET COREY	JANET COREY	2015-10-15
010	2013-01-01	GEORGE TRISIC	GEORGE TRISIC	2014-10-28

Plan Statistics for LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN

401k plan membership statisitcs for LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN

Measure Date Value
2015: LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 139
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 92
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 5
Total of all active and inactive participants 2015-01-01 97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 97
Number of participants with account balances 2015-01-01 92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 127
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 132
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 7
Total of all active and inactive participants 2014-01-01 139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 139
Number of participants with account balances 2014-01-01 134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 113
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 121
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 6
Total of all active and inactive participants 2013-01-01 127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 127
Number of participants with account balances 2013-01-01 121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0

Measure	Date	Value
2015: LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	139
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	92
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	5
Total of all active and inactive participants	2015-01-01	97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	97
Number of participants with account balances	2015-01-01	92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	127
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	132
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	7
Total of all active and inactive participants	2014-01-01	139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	139
Number of participants with account balances	2014-01-01	134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	113
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	121
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	6
Total of all active and inactive participants	2013-01-01	127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	127
Number of participants with account balances	2013-01-01	121
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0

Financial Data on LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN

Measure	Date	Value
2015 : LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN 2015 401k financial data
Total transfer of assets to this plan	2015-12-31	$127,687
Total transfer of assets from this plan	2015-12-31	$5,312,431
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$42,927
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$15,989
Total income from all sources (including contributions)	2015-12-31	$1,634,722
Total of all expenses incurred	2015-12-31	$455,016
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$394,113
Expenses. Certain deemed distributions of participant loans	2015-12-31	$16,571
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$1,570,822
Value of total assets at end of year	2015-12-31	$7,913,282
Value of total assets at beginning of year	2015-12-31	$11,891,382
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$44,332
Total interest from all sources	2015-12-31	$14,512
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$44,354
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	$44,354
Administrative expenses professional fees incurred	2015-12-31	$44,332
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	Yes
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$1,113,740
Participant contributions at end of year	2015-12-31	$215,790
Participant contributions at beginning of year	2015-12-31	$388,387
Participant contributions at beginning of year	2015-12-31	$1,675
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$34,029
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$112,425
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$42,927
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$15,989
Other income not declared elsewhere	2015-12-31	$-39,137
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	$1,179,706
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$7,870,355
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$11,875,393
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 pooled separate accounts at end of year	2015-12-31	$5,208,204
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$9,112,747
Interest on participant loans	2015-12-31	$14,512
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$2,376,863
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$2,320,758
Net investment gain/loss from pooled separate accounts	2015-12-31	$44,171
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	Yes
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	$423,053
Employer contributions (assets) at beginning of year	2015-12-31	$67,815
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$394,113
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	2015-12-31	Yes
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	PICKETT, CHANEY & MCMULLEN LLP
Accountancy firm EIN	2015-12-31	481246310
2014 : LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN 2014 401k financial data
Total transfer of assets from this plan	2014-12-31	$1,481
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$15,989
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	$2,142,443
Total of all expenses incurred	2014-12-31	$920,504
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$881,057
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,480,797
Value of total assets at end of year	2014-12-31	$11,891,382
Value of total assets at beginning of year	2014-12-31	$10,654,935
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$39,447
Total interest from all sources	2014-12-31	$14,156
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
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
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,048,554
Participant contributions at end of year	2014-12-31	$388,387
Participant contributions at beginning of year	2014-12-31	$342,031
Participant contributions at end of year	2014-12-31	$1,675
Participant contributions at beginning of year	2014-12-31	$7,180
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$40,033
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$15,989
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	$1,221,939
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$11,875,393
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$10,654,935
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
Investment advisory and management fees	2014-12-31	$39,447
Value of interest in pooled separate accounts at end of year	2014-12-31	$9,112,747
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$8,808,630
Interest on participant loans	2014-12-31	$14,156
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$2,320,758
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$1,474,775
Net investment gain/loss from pooled separate accounts	2014-12-31	$647,490
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	Yes
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	$392,210
Employer contributions (assets) at end of year	2014-12-31	$67,815
Employer contributions (assets) at beginning of year	2014-12-31	$22,319
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$881,057
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	PICKETT, CHANEY & MCMULLEN LLP
Accountancy firm EIN	2014-12-31	481246310
2013 : LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$-503,809
Total income from all sources	2013-12-31	$3,360,934
Expenses. Total of all expenses incurred	2013-12-31	$2,765,355
Benefits paid (including direct rollovers)	2013-12-31	$2,759,079
Total plan assets at end of year	2013-12-31	$10,656,986
Total plan assets at beginning of year	2013-12-31	$10,061,407
Value of fidelity bond covering the plan	2013-12-31	$10,000,000
Total contributions received or receivable from participants	2013-12-31	$918,324
Contributions received from other sources (not participants or employers)	2013-12-31	$557,100
Other income received	2013-12-31	$1,566,663
Net income (gross income less expenses)	2013-12-31	$595,579
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$10,656,986
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$10,061,407
Assets. Value of participant loans	2013-12-31	$342,031
Total contributions received or receivable from employer(s)	2013-12-31	$318,847
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$6,276
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0

Form 5500 Responses for LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN

2015: LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT 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 – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT 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 – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: LIBERTY UTILITIES NEW HAMPSHIRE UNION EMPLOYEES 401(K) RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	Yes
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 – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number	874475
Policy instance	1
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number	874475
Policy instance	1
VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )
Policy contract number	874475
Policy instance	1

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Company Name:	LIBERTY UTILITIES CO.
Employer identification number (EIN):	274444001
NAIC Classification:	221100