401k Plan data: NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN plan

NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN 401k Plan overview

Plan Name	NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN
Plan identification number	001

NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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

401k Sponsoring company profile

ESSENTIAL POWER, LLC has sponsored the creation of one or more 401k plans.

Company Name: ESSENTIAL POWER, LLC

Employer identification number (EIN): 352318182

NAIC Classification: 221100

Additional information about ESSENTIAL POWER, LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 4464863

More information about ESSENTIAL POWER, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 RICK WHITE RICK WHITE 2013-10-14
001 2011-01-01 JEFFERY SPENCER JEFFERY SPENCER 2012-10-09
001 2009-01-01 JEFFERY SPENCER
001 2009-01-01 JEFFERY SPENCER
001 2009-01-01 JEFFERY SPENCER JEFFERY SPENCER 2010-10-08

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2012-01-01	RICK WHITE	RICK WHITE	2013-10-14
001	2011-01-01	JEFFERY SPENCER	JEFFERY SPENCER	2012-10-09
001	2009-01-01	JEFFERY SPENCER
001	2009-01-01	JEFFERY SPENCER
001	2009-01-01	JEFFERY SPENCER	JEFFERY SPENCER	2010-10-08

Plan Statistics for NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN

401k plan membership statisitcs for NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN

Measure Date Value
2012: NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 97
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 128
Number of retired or separated participants receiving benefits 2012-01-01 3
Number of other retired or separated participants entitled to future benefits 2012-01-01 7
Total of all active and inactive participants 2012-01-01 138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 138
Number of participants with account balances 2012-01-01 117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 95
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 92
Number of retired or separated participants receiving benefits 2011-01-01 2
Number of other retired or separated participants entitled to future benefits 2011-01-01 3
Total of all active and inactive participants 2011-01-01 97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 97
Number of participants with account balances 2011-01-01 96
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2009: NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 78
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 103
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 1
Total of all active and inactive participants 2009-01-01 104
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 104
Number of participants with account balances 2009-01-01 86
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2012: NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	97
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	128
Number of retired or separated participants receiving benefits	2012-01-01	3
Number of other retired or separated participants entitled to future benefits	2012-01-01	7
Total of all active and inactive participants	2012-01-01	138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	138
Number of participants with account balances	2012-01-01	117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	95
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	92
Number of retired or separated participants receiving benefits	2011-01-01	2
Number of other retired or separated participants entitled to future benefits	2011-01-01	3
Total of all active and inactive participants	2011-01-01	97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	97
Number of participants with account balances	2011-01-01	96
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2009: NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	78
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	103
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	1
Total of all active and inactive participants	2009-01-01	104
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	104
Number of participants with account balances	2009-01-01	86
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN

Measure	Date	Value
2012 : NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
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	$2,552,614
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$677,160
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$674,101
Expenses. Certain deemed distributions of participant loans	2012-12-31	$0
Value of total corrective distributions	2012-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,810,107
Value of total assets at end of year	2012-12-31	$8,491,855
Value of total assets at beginning of year	2012-12-31	$6,616,401
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$3,059
Total interest from all sources	2012-12-31	$7,095
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$106,667
Total income from all sources	2012-12-31	$2,552,614
Expenses. Total of all expenses incurred	2012-12-31	$677,160
Benefits paid (including direct rollovers)	2012-12-31	$674,101
Total plan assets at end of year	2012-12-31	$8,491,855
Total plan assets at beginning of year	2012-12-31	$6,616,401
Value of fidelity bond covering the plan	2012-12-31	$100,000
Total contributions received or receivable from participants	2012-12-31	$1,070,398
Expenses. Other expenses not covered elsewhere	2012-12-31	$1,829
Contributions received from other sources (not participants or employers)	2012-12-31	$441,901
Other income received	2012-12-31	$742,507
Net income (gross income less expenses)	2012-12-31	$1,875,454
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$8,491,855
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$6,616,401
Assets. Value of participant loans	2012-12-31	$269,274
Total contributions received or receivable from employer(s)	2012-12-31	$297,808
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$1,230
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	$106,667
Administrative expenses professional fees incurred	2012-12-31	$0
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$100,000
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	$1,070,398
Participant contributions at end of year	2012-12-31	$269,274
Participant contributions at beginning of year	2012-12-31	$236,399
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$441,901
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2012-12-31	$0
Other income not declared elsewhere	2012-12-31	$0
Administrative expenses (other) incurred	2012-12-31	$1,829
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	$1,875,454
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$8,491,855
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$6,616,401
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
Investment advisory and management fees	2012-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$6,157,739
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$4,661,558
Value of interest in pooled separate accounts at end of year	2012-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$0
Interest on participant loans	2012-12-31	$7,095
Interest earned on other investments	2012-12-31	$0
Value of interest in common/collective trusts at end of year	2012-12-31	$2,064,842
Value of interest in common/collective trusts at beginning of year	2012-12-31	$1,718,444
Expenses. Payments to insurance carriers foe the provision of benefits	2012-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$607,643
Net investment gain/loss from pooled separate accounts	2012-12-31	$0
Net investment gain or loss from common/collective trusts	2012-12-31	$21,102
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
Assets. Invements in employer securities at end of year	2012-12-31	$0
Assets. Invements in employer securities at beginning of year	2012-12-31	$0
Contributions received in cash from employer	2012-12-31	$297,808
Income. Dividends from common stock	2012-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$674,101
Contract administrator fees	2012-12-31	$1,230
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	ESSENTIAL POWER INVESTMENTS
Accountancy firm EIN	2012-12-31	353567156
2011 : NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$1,150,141
Expenses. Total of all expenses incurred	2011-12-31	$225,416
Benefits paid (including direct rollovers)	2011-12-31	$223,726
Total plan assets at end of year	2011-12-31	$6,616,401
Total plan assets at beginning of year	2011-12-31	$5,691,676
Value of fidelity bond covering the plan	2011-12-31	$1,000,000
Total contributions received or receivable from participants	2011-12-31	$931,953
Expenses. Other expenses not covered elsewhere	2011-12-31	$50
Contributions received from other sources (not participants or employers)	2011-12-31	$118,041
Other income received	2011-12-31	$-144,205
Net income (gross income less expenses)	2011-12-31	$924,725
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$6,616,401
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$5,691,676
Assets. Value of participant loans	2011-12-31	$236,399
Total contributions received or receivable from employer(s)	2011-12-31	$244,352
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$1,640
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$1,672,995
Expenses. Total of all expenses incurred	2010-12-31	$208,009
Benefits paid (including direct rollovers)	2010-12-31	$207,019
Total plan assets at end of year	2010-12-31	$5,691,676
Total plan assets at beginning of year	2010-12-31	$4,226,690
Total contributions received or receivable from participants	2010-12-31	$857,153
Expenses. Other expenses not covered elsewhere	2010-12-31	$120
Contributions received from other sources (not participants or employers)	2010-12-31	$130,215
Other income received	2010-12-31	$492,893
Net income (gross income less expenses)	2010-12-31	$1,464,986
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$5,691,676
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$4,226,690
Assets. Value of participant loans	2010-12-31	$136,999
Total contributions received or receivable from employer(s)	2010-12-31	$192,734
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$870
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : NORTH AMERICAN ENERGY ALLIANCE, LLC 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 NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN

2012: NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	Yes
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: NORTH AMERICAN ENERGY ALLIANCE, LLC 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: NORTH AMERICAN ENERGY ALLIANCE, LLC 401(K) PLAN 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:	ESSENTIAL POWER, LLC
Employer identification number (EIN):	352318182
NAIC Classification:	221100

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	4464863