CHARLES A. KLEIN & SONS, INC. has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan CHARLES A. KLEIN & SONS, INC. 401(K) PROFIT SHARING PLAN AND TRUST
401k plan membership statisitcs for CHARLES A. KLEIN & SONS, INC. 401(K) PROFIT SHARING PLAN AND TRUST
| Measure | Date | Value |
|---|
| 2011: CHARLES A. KLEIN & SONS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k membership |
|---|
| Total participants, beginning-of-year | 2011-01-01 | 109 |
| Total number of active participants reported on line 7a of the Form 5500 | 2011-01-01 | 70 |
| 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 | 20 |
| Total of all active and inactive participants | 2011-01-01 | 90 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2011-01-01 | 0 |
| Total participants | 2011-01-01 | 90 |
| Number of participants with account balances | 2011-01-01 | 90 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2011-01-01 | 7 |
| 2010: CHARLES A. KLEIN & SONS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2010 401k membership |
|---|
| Total participants, beginning-of-year | 2010-01-01 | 119 |
| Total number of active participants reported on line 7a of the Form 5500 | 2010-01-01 | 78 |
| 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 | 31 |
| Total of all active and inactive participants | 2010-01-01 | 109 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2010-01-01 | 0 |
| Total participants | 2010-01-01 | 109 |
| Number of participants with account balances | 2010-01-01 | 109 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2010-01-01 | 11 |
| 2009: CHARLES A. KLEIN & SONS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2009 401k membership |
|---|
| Total participants, beginning-of-year | 2009-01-01 | 148 |
| Total number of active participants reported on line 7a of the Form 5500 | 2009-01-01 | 101 |
| 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 | 16 |
| Total of all active and inactive participants | 2009-01-01 | 117 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2009-01-01 | 0 |
| Total participants | 2009-01-01 | 117 |
| Number of participants with account balances | 2009-01-01 | 117 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2009-01-01 | 8 |
| Measure | Date | Value |
|---|
| 2011 : CHARLES A. KLEIN & SONS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2011 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2011-12-31 | $-176,135 |
| Total unrealized appreciation/depreciation of assets | 2011-12-31 | $-176,135 |
| 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 | $-142,340 |
| Total loss/gain on sale of assets | 2011-12-31 | $-16,199 |
| Total of all expenses incurred | 2011-12-31 | $213,182 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-12-31 | $195,821 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-12-31 | $0 |
| Value of total assets at end of year | 2011-12-31 | $2,839,983 |
| Value of total assets at beginning of year | 2011-12-31 | $3,195,505 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-12-31 | $17,361 |
| Total interest from all sources | 2011-12-31 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2011-12-31 | $49,986 |
| 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 | $46,053 |
| Administrative expenses professional fees incurred | 2011-12-31 | $4,571 |
| 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 |
| Other income not declared elsewhere | 2011-12-31 | $8 |
| Total non interest bearing cash at end of year | 2011-12-31 | $14,285 |
| Total non interest bearing cash at beginning of year | 2011-12-31 | $9,668 |
| 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 | $-355,522 |
| Value of net assets at end of year (total assets less liabilities) | 2011-12-31 | $2,839,983 |
| Value of net assets at beginning of year (total assets less liabilities) | 2011-12-31 | $3,195,505 |
| 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 |
| Investment advisory and management fees | 2011-12-31 | $12,790 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2011-12-31 | $2,668,039 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2011-12-31 | $3,015,892 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2011-12-31 | $4,245 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2011-12-31 | $13,103 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2011-12-31 | $13,103 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2011-12-31 | $0 |
| 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 |
| Employer contributions (assets) at end of year | 2011-12-31 | $0 |
| Employer contributions (assets) at beginning of year | 2011-12-31 | $0 |
| Income. Dividends from common stock | 2011-12-31 | $3,933 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-12-31 | $195,821 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2011-12-31 | $153,414 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2011-12-31 | $156,842 |
| 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 |
| Aggregate proceeds on sale of assets | 2011-12-31 | $205,000 |
| Aggregate carrying amount (costs) on sale of assets | 2011-12-31 | $221,199 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2011-12-31 | Unqualified |
| Accountancy firm name | 2011-12-31 | ROWLES & COMPANY |
| Accountancy firm EIN | 2011-12-31 | 520630619 |
| 2010 : CHARLES A. KLEIN & SONS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 2010 401k financial data |
|---|
| Unrealized appreciation/depreciation of other (non real estate) assets | 2010-12-31 | $312,549 |
| Total unrealized appreciation/depreciation of assets | 2010-12-31 | $312,549 |
| 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 | $370,971 |
| Total loss/gain on sale of assets | 2010-12-31 | $7,751 |
| Total of all expenses incurred | 2010-12-31 | $77,253 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2010-12-31 | $61,022 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2010-12-31 | $0 |
| Value of total assets at end of year | 2010-12-31 | $3,195,505 |
| Value of total assets at beginning of year | 2010-12-31 | $2,901,787 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2010-12-31 | $16,231 |
| Total interest from all sources | 2010-12-31 | $0 |
| Total dividends received (eg from common stock, registered investment company shares) | 2010-12-31 | $50,657 |
| 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 | $47,448 |
| Administrative expenses professional fees incurred | 2010-12-31 | $5,159 |
| 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 |
| Other income not declared elsewhere | 2010-12-31 | $14 |
| Total non interest bearing cash at end of year | 2010-12-31 | $9,668 |
| Total non interest bearing cash at beginning of year | 2010-12-31 | $22,345 |
| 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 | $293,718 |
| Value of net assets at end of year (total assets less liabilities) | 2010-12-31 | $3,195,505 |
| Value of net assets at beginning of year (total assets less liabilities) | 2010-12-31 | $2,901,787 |
| 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 |
| Investment advisory and management fees | 2010-12-31 | $11,072 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2010-12-31 | $3,015,892 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2010-12-31 | $2,713,692 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2010-12-31 | $13,103 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2010-12-31 | $24,456 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2010-12-31 | $24,456 |
| Interest earned from interest bearing cash (including money market accounts and certificates of deposit) | 2010-12-31 | $0 |
| 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 |
| Employer contributions (assets) at end of year | 2010-12-31 | $0 |
| Employer contributions (assets) at beginning of year | 2010-12-31 | $0 |
| Income. Dividends from common stock | 2010-12-31 | $3,209 |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2010-12-31 | $61,022 |
| Assets. Corporate common stocks other than exployer securities at end of year | 2010-12-31 | $156,842 |
| Assets. Corporate common stocks other than exployer securities at beginning of year | 2010-12-31 | $141,294 |
| 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 |
| Aggregate proceeds on sale of assets | 2010-12-31 | $150,000 |
| Aggregate carrying amount (costs) on sale of assets | 2010-12-31 | $142,249 |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2010-12-31 | No |
| Opinion of an independent qualified public accountant for this plan | 2010-12-31 | Unqualified |
| Accountancy firm name | 2010-12-31 | ROWLES & COMPANY |
| Accountancy firm EIN | 2010-12-31 | 520630619 |
| 2009 : CHARLES A. KLEIN & SONS, INC. 401(K) PROFIT SHARING PLAN AND TRUST 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 |
