401k Plan data: CSW INDUSTRIALS, INC. EMPLOYEE SAVINGS PLAN plan

CSW INDUSTRIALS, INC. EMPLOYEE SAVINGS PLAN 401k Plan overview

Plan Name	CSW INDUSTRIALS, INC. EMPLOYEE SAVINGS PLAN
Plan identification number	003

CSW INDUSTRIALS, INC. EMPLOYEE SAVINGS 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.
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) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

BALCO, INC. has sponsored the creation of one or more 401k plans.

Company Name: BALCO, INC.

Employer identification number (EIN): 480961759

NAIC Classification: 332300

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CSW INDUSTRIALS, INC. EMPLOYEE SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2016-01-01 MARY BURNS 2017-10-12

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2016-01-01			MARY BURNS	2017-10-12

Plan Statistics for CSW INDUSTRIALS, INC. EMPLOYEE SAVINGS PLAN

401k plan membership statisitcs for CSW INDUSTRIALS, INC. EMPLOYEE SAVINGS PLAN

Measure Date Value
2016: CSW INDUSTRIALS, INC. EMPLOYEE SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 655
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 580
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 55
Total of all active and inactive participants 2016-01-01 635
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 1
Total participants 2016-01-01 636
Number of participants with account balances 2016-01-01 624
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 51

Measure	Date	Value
2016: CSW INDUSTRIALS, INC. EMPLOYEE SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	655
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	580
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	55
Total of all active and inactive participants	2016-01-01	635
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	1
Total participants	2016-01-01	636
Number of participants with account balances	2016-01-01	624
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	51

Financial Data on CSW INDUSTRIALS, INC. EMPLOYEE SAVINGS PLAN

Measure	Date	Value
2016 : CSW INDUSTRIALS, INC. EMPLOYEE SAVINGS PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets	2016-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$0
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$8,366,665
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$1,380,622
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,118,777
Expenses. Certain deemed distributions of participant loans	2016-12-31	$0
Value of total corrective distributions	2016-12-31	$204,820
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$7,466,276
Value of total assets at end of year	2016-12-31	$14,014,988
Value of total assets at beginning of year	2016-12-31	$7,028,945
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$57,025
Total income from rents	2016-12-31	$0
Total interest from all sources	2016-12-31	$3,085
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$47,792
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$47,792
Administrative expenses professional fees incurred	2016-12-31	$0
Was this plan covered by a fidelity bond	2016-12-31	No
Value of fidelity bond cover	2016-12-31	$0
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Amount of non-exempt transactions with any party-in-interest	2016-12-31	$0
Contributions received from participants	2016-12-31	$2,726,246
Participant contributions at end of year	2016-12-31	$98,787
Participant contributions at beginning of year	2016-12-31	$82,771
Participant contributions at end of year	2016-12-31	$23,190
Participant contributions at beginning of year	2016-12-31	$17,791
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$1,185,338
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-12-31	$63,408
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$0
Other income not declared elsewhere	2016-12-31	$147
Administrative expenses (other) incurred	2016-12-31	$0
Liabilities. Value of operating payables at beginning of year	2016-12-31	$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	2016-12-31	No
Value of net income/loss	2016-12-31	$6,986,043
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$14,014,988
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$7,028,945
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2016-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2016-12-31	$0
Investment advisory and management fees	2016-12-31	$126
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$3,345,961
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$1,785,738
Value of interest in pooled separate accounts at end of year	2016-12-31	$981,950
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$631,249
Interest on participant loans	2016-12-31	$3,085
Income. Interest from loans (other than to participants)	2016-12-31	$0
Interest earned on other investments	2016-12-31	$0
Income. Interest from US Government securities	2016-12-31	$0
Income. Interest from corporate debt instruments	2016-12-31	$0
Value of interest in common/collective trusts at end of year	2016-12-31	$9,542,777
Value of interest in common/collective trusts at beginning of year	2016-12-31	$4,491,026
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$179,043
Net investment gain/loss from pooled separate accounts	2016-12-31	$84,303
Net investment gain or loss from common/collective trusts	2016-12-31	$586,019
Net gain/loss from 103.12 investment entities	2016-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$3,554,692
Employer contributions (assets) at end of year	2016-12-31	$22,323
Employer contributions (assets) at beginning of year	2016-12-31	$20,370
Income. Dividends from preferred stock	2016-12-31	$0
Income. Dividends from common stock	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,055,369
Contract administrator fees	2016-12-31	$56,899
Liabilities. Value of benefit claims payable at beginning of year	2016-12-31	$0
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Aggregate proceeds on sale of assets	2016-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2016-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2016-12-31	$0

Form 5500 Responses for CSW INDUSTRIALS, INC. EMPLOYEE SAVINGS PLAN

2016: CSW INDUSTRIALS, INC. EMPLOYEE SAVINGS PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	BALCO, INC.
Employer identification number (EIN):	480961759
NAIC Classification:	332300