401k Plan data: THE GRAY COMPANIES 401(K) PLAN plan

THE GRAY COMPANIES 401(K) PLAN 401k Plan overview

Plan Name	THE GRAY COMPANIES 401(K) PLAN
Plan identification number	001

THE GRAY COMPANIES 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.
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

THE GRAY COMPANIES has sponsored the creation of one or more 401k plans.

Company Name: THE GRAY COMPANIES

Employer identification number (EIN): 570439917

NAIC Classification: 444130
NAIC Description: Hardware Stores

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE GRAY COMPANIES 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 DAVID RHODES
001 2011-01-01 BARRY MILO
001 2009-01-01 BARRY MILO
001 2009-01-01

Plan Statistics for THE GRAY COMPANIES 401(K) PLAN

401k plan membership statisitcs for THE GRAY COMPANIES 401(K) PLAN

Measure Date Value
2012: THE GRAY COMPANIES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 102
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 106
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 2
Total of all active and inactive participants 2012-01-01 108
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 108
Number of participants with account balances 2012-01-01 92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: THE GRAY COMPANIES 401(K) PLAN 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 2011-01-01 100
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 2
Total of all active and inactive participants 2011-01-01 102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 102
Number of participants with account balances 2011-01-01 93
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: THE GRAY COMPANIES 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 198
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 167
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 13
Total of all active and inactive participants 2009-01-01 180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 180
Number of participants with account balances 2009-01-01 126
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: THE GRAY COMPANIES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	102
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	106
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	2
Total of all active and inactive participants	2012-01-01	108
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	108
Number of participants with account balances	2012-01-01	92
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: THE GRAY COMPANIES 401(K) PLAN 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	100
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	2
Total of all active and inactive participants	2011-01-01	102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	102
Number of participants with account balances	2011-01-01	93
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: THE GRAY COMPANIES 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	198
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	167
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	13
Total of all active and inactive participants	2009-01-01	180
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	180
Number of participants with account balances	2009-01-01	126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on THE GRAY COMPANIES 401(K) PLAN

Measure	Date	Value
2012 : THE GRAY COMPANIES 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	$539,479
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$59,819
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$50,637
Value of total corrective distributions	2012-12-31	$5,612
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$251,239
Value of total assets at end of year	2012-12-31	$2,865,354
Value of total assets at beginning of year	2012-12-31	$2,385,694
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$3,570
Total interest from all sources	2012-12-31	$6,022
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$38,519
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	$38,519
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$1,000,000
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	$192,659
Participant contributions at end of year	2012-12-31	$229,233
Participant contributions at beginning of year	2012-12-31	$131,132
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$58,580
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	$479,660
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$2,865,354
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$2,385,694
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	$2,301,179
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$1,943,812
Interest on participant loans	2012-12-31	$6,022
Value of interest in common/collective trusts at end of year	2012-12-31	$334,942
Value of interest in common/collective trusts at beginning of year	2012-12-31	$310,750
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$241,650
Net investment gain or loss from common/collective trusts	2012-12-31	$2,049
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$50,637
Contract administrator fees	2012-12-31	$3,570
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	ROBINSON GRANT & CO.,P.A.
Accountancy firm EIN	2012-12-31	570735924
2011 : THE GRAY COMPANIES 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
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	$108,094
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$237,510
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$227,464
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$163,185
Value of total assets at end of year	2011-12-31	$2,385,694
Value of total assets at beginning of year	2011-12-31	$2,515,110
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$10,046
Total interest from all sources	2011-12-31	$8,258
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$29,075
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	$29,075
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	Yes
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	$163,185
Participant contributions at end of year	2011-12-31	$131,132
Participant contributions at beginning of year	2011-12-31	$185,531
Administrative expenses (other) incurred	2011-12-31	$54
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	$-129,416
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$2,385,694
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$2,515,110
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	$1,943,812
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$2,012,278
Interest on participant loans	2011-12-31	$8,258
Value of interest in common/collective trusts at end of year	2011-12-31	$310,750
Value of interest in common/collective trusts at beginning of year	2011-12-31	$317,301
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-115,688
Net investment gain or loss from common/collective trusts	2011-12-31	$23,264
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$227,464
Contract administrator fees	2011-12-31	$9,992
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	Yes
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	ROBINSON GRANT AND CO.,P.A.
Accountancy firm EIN	2011-12-31	570735924
2010 : THE GRAY COMPANIES 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
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	$481,870
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$1,087,624
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,044,136
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$189,023
Value of total assets at end of year	2010-12-31	$2,515,110
Value of total assets at beginning of year	2010-12-31	$3,120,864
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$43,488
Total interest from all sources	2010-12-31	$12,012
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$16,926
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	$16,926
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
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	$146,322
Participant contributions at end of year	2010-12-31	$185,531
Participant contributions at beginning of year	2010-12-31	$209,205
Other income not declared elsewhere	2010-12-31	$3,074
Administrative expenses (other) incurred	2010-12-31	$43,488
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	$-605,754
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$2,515,110
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$3,120,864
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	$2,012,278
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$1,486,807
Interest on participant loans	2010-12-31	$12,012
Value of interest in common/collective trusts at end of year	2010-12-31	$317,301
Value of interest in common/collective trusts at beginning of year	2010-12-31	$1,424,852
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$198,973
Net investment gain or loss from common/collective trusts	2010-12-31	$61,862
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	$42,701
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,044,136
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	ROBINSON GRANT & COMPANY
Accountancy firm EIN	2010-12-31	570735924
2009 : THE GRAY COMPANIES 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 THE GRAY COMPANIES 401(K) PLAN

2012: THE GRAY COMPANIES 401(K) PLAN 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	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: THE GRAY COMPANIES 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	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: THE GRAY COMPANIES 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	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	THE GRAY COMPANIES
Employer identification number (EIN):	570439917
NAIC Classification:	444130
NAIC Description:	Hardware Stores

Plan id#	Filing Submission Date	Name of Administrator
001	2012-01-01	DAVID RHODES
001	2011-01-01	BARRY MILO
001	2009-01-01	BARRY MILO
001	2009-01-01