401k Plan data: WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN plan

WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN 401k Plan overview

Plan Name	WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN
Plan identification number	003

WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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) received services of leased employees, as defined in Code section 414(n), during the plan year.

401k Sponsoring company profile

ALLIANCE COAL, LLC S. PAUL MACKEY has sponsored the creation of one or more 401k plans.

Company Name: ALLIANCE COAL, LLC S. PAUL MACKEY

Employer identification number (EIN): 730956034

NAIC Classification: 212110
NAIC Description: Coal Mining

Additional information about ALLIANCE COAL, LLC S. PAUL MACKEY

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3044503

More information about ALLIANCE COAL, LLC S. PAUL MACKEY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2016-01-01 S.PAUL MACKEY S. PAUL MACKEY 2017-03-29
003 2015-01-01 SAMMIE MACKEY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2016-01-01	S.PAUL MACKEY		S. PAUL MACKEY	2017-03-29
003	2015-01-01	SAMMIE MACKEY

Plan Statistics for WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN

401k plan membership statisitcs for WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN

Measure Date Value
2016: WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 130
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
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 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 371
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 122
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 8
Total of all active and inactive participants 2015-01-01 130
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 130
Number of participants with account balances 2015-01-01 130
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0

Measure	Date	Value
2016: WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	130
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
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	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	371
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	122
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	8
Total of all active and inactive participants	2015-01-01	130
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	130
Number of participants with account balances	2015-01-01	130
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0

Financial Data on WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN

Measure	Date	Value
2016 : WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-05	$0
Total transfer of assets from this plan	2016-12-05	$311,455
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-05	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-05	$6,587,306
Total income from all sources (including contributions)	2016-12-05	$-5,013
Total loss/gain on sale of assets	2016-12-05	$0
Total of all expenses incurred	2016-12-05	$37
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-05	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-05	$0
Value of total assets at end of year	2016-12-05	$0
Value of total assets at beginning of year	2016-12-05	$6,903,811
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-05	$37
Total interest from all sources	2016-12-05	$0
Total dividends received (eg from common stock, registered investment company shares)	2016-12-05	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-05	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-12-05	$0
Administrative expenses professional fees incurred	2016-12-05	$37
Was this plan covered by a fidelity bond	2016-12-05	Yes
Value of fidelity bond cover	2016-12-05	$100,000
If this is an individual account plan, was there a blackout period	2016-12-05	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-05	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-05	No
Participant contributions at beginning of year	2016-12-05	$361,010
Other income not declared elsewhere	2016-12-05	$164
Liabilities. Value of operating payables at beginning of year	2016-12-05	$6,587,306
Total non interest bearing cash at beginning of year	2016-12-05	$258
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-05	No
Value of net income/loss	2016-12-05	$-5,050
Value of net assets at end of year (total assets less liabilities)	2016-12-05	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-12-05	$316,505
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-05	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-05	No
Were any leases to which the plan was party in default or uncollectible	2016-12-05	No
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-05	$1,000,996
Value of interest in common/collective trusts at beginning of year	2016-12-05	$5,530,598
Net investment gain or loss from common/collective trusts	2016-12-05	$-5,177
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-05	No
Was there a failure to transmit to the plan any participant contributions	2016-12-05	No
Has the plan failed to provide any benefit when due under the plan	2016-12-05	No
Employer contributions (assets) at beginning of year	2016-12-05	$10,949
Did the plan have assets held for investment	2016-12-05	No
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	2016-12-05	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-05	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-05	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-05	Disclaimer
Accountancy firm name	2016-12-05	HICOK, FERN & COMPANY
Accountancy firm EIN	2016-12-05	061662488
2015 : WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets from this plan	2015-12-31	$6,587,306
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$6,587,306
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$3,763,833
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$2,284,675
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$2,215,226
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$3,830,641
Value of total assets at end of year	2015-12-31	$6,903,811
Value of total assets at beginning of year	2015-12-31	$5,424,653
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$69,449
Total interest from all sources	2015-12-31	$6,955
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$55,791
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	$55,791
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$100,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$2,011,039
Participant contributions at end of year	2015-12-31	$361,010
Participant contributions at beginning of year	2015-12-31	$0
Participant contributions at end of year	2015-12-31	$0
Participant contributions at beginning of year	2015-12-31	$83
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$47,690
Administrative expenses (other) incurred	2015-12-31	$12
Liabilities. Value of operating payables at end of year	2015-12-31	$6,587,306
Liabilities. Value of operating payables at beginning of year	2015-12-31	$0
Total non interest bearing cash at end of year	2015-12-31	$258
Total non interest bearing cash at beginning of year	2015-12-31	$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	2015-12-31	No
Value of net income/loss	2015-12-31	$1,479,158
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$316,505
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$5,424,653
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 registered invesment companies (eg mutual funds) at end of year	2015-12-31	$1,000,996
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$942,383
Income. Interest from loans (other than to participants)	2015-12-31	$6,955
Value of interest in common/collective trusts at end of year	2015-12-31	$5,530,598
Value of interest in common/collective trusts at beginning of year	2015-12-31	$4,448,622
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-79,323
Net investment gain or loss from common/collective trusts	2015-12-31	$-50,231
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	No
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	$1,771,912
Employer contributions (assets) at end of year	2015-12-31	$10,949
Employer contributions (assets) at beginning of year	2015-12-31	$33,565
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$2,215,226
Contract administrator fees	2015-12-31	$69,437
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	HICOK, FERN & COMPANY
Accountancy firm EIN	2015-12-31	061662488

Form 5500 Responses for WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN

2016: WHITE OAK RESOURCES LLC 401(K) SAVINGS PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: WHITE OAK RESOURCES LLC 401(K) SAVINGS 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 – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	ALLIANCE COAL, LLC S. PAUL MACKEY
Employer identification number (EIN):	730956034
NAIC Classification:	212110
NAIC Description:	Coal Mining

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3044503