401k Plan data: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN plan

RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	002

RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
Stock bonus
ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP.
The employer maintaining this ESOP is an S Corporation
Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

401k Sponsoring company profile

REDWINE-KRUEGER, INC. DBA RKI has sponsored the creation of one or more 401k plans.

Company Name: REDWINE-KRUEGER, INC. DBA RKI

Employer identification number (EIN): 741696643

NAIC Classification: 561490

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2013-01-01 CHARLES WHITE
002 2012-01-01 CHARLES WHITE
002 2011-01-01 DOUG CANNON
002 2010-01-01 CHARLES WHITE
002 2009-10-01 GLEN KRUEGER
002 2008-10-01 CHARLES WHITE

Plan id#	Filing Submission Date	Name of Administrator
002	2013-01-01	CHARLES WHITE
002	2012-01-01	CHARLES WHITE
002	2011-01-01	DOUG CANNON
002	2010-01-01	CHARLES WHITE
002	2009-10-01	GLEN KRUEGER
002	2008-10-01	CHARLES WHITE

Plan Statistics for RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2013: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 0
Number of participants with account balances 2013-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 12
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 10
Total of all active and inactive participants 2012-01-01 22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 22
Number of participants with account balances 2012-01-01 22
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 19
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 3
Total of all active and inactive participants 2011-01-01 22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 22
Number of participants with account balances 2011-01-01 22
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 18
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 3
Total of all active and inactive participants 2010-01-01 21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 21
Number of participants with account balances 2010-01-01 21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-10-01 19
Total number of active participants reported on line 7a of the Form 5500 2009-10-01 16
Number of retired or separated participants receiving benefits 2009-10-01 0
Number of other retired or separated participants entitled to future benefits 2009-10-01 3
Total of all active and inactive participants 2009-10-01 19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-10-01 0
Total participants 2009-10-01 19
Number of participants with account balances 2009-10-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-10-01 3
2008: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2008 401k membership
Total participants, beginning-of-year 2008-10-01 13
Total number of active participants reported on line 7a of the Form 5500 2008-10-01 19
Number of retired or separated participants receiving benefits 2008-10-01 0
Number of other retired or separated participants entitled to future benefits 2008-10-01 0
Total of all active and inactive participants 2008-10-01 19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2008-10-01 0
Total participants 2008-10-01 19
Number of participants with account balances 2008-10-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2008-10-01 0
Number of employers contributing to the scheme 2008-10-01 0

Measure	Date	Value
2013: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	0
Number of participants with account balances	2013-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	12
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	10
Total of all active and inactive participants	2012-01-01	22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	22
Number of participants with account balances	2012-01-01	22
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	19
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	3
Total of all active and inactive participants	2011-01-01	22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	22
Number of participants with account balances	2011-01-01	22
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	18
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	3
Total of all active and inactive participants	2010-01-01	21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	21
Number of participants with account balances	2010-01-01	21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-10-01	19
Total number of active participants reported on line 7a of the Form 5500	2009-10-01	16
Number of retired or separated participants receiving benefits	2009-10-01	0
Number of other retired or separated participants entitled to future benefits	2009-10-01	3
Total of all active and inactive participants	2009-10-01	19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-10-01	0
Total participants	2009-10-01	19
Number of participants with account balances	2009-10-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-10-01	3
2008: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2008 401k membership
Total participants, beginning-of-year	2008-10-01	13
Total number of active participants reported on line 7a of the Form 5500	2008-10-01	19
Number of retired or separated participants receiving benefits	2008-10-01	0
Number of other retired or separated participants entitled to future benefits	2008-10-01	0
Total of all active and inactive participants	2008-10-01	19
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2008-10-01	0
Total participants	2008-10-01	19
Number of participants with account balances	2008-10-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2008-10-01	0
Number of employers contributing to the scheme	2008-10-01	0

Financial Data on RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2013 : RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$0
Total plan liabilities at beginning of year	2013-12-31	$0
Total income from all sources	2013-12-31	$0
Expenses. Total of all expenses incurred	2013-12-31	$7,904
Benefits paid (including direct rollovers)	2013-12-31	$7,904
Total plan assets at end of year	2013-12-31	$0
Total plan assets at beginning of year	2013-12-31	$7,904
Net income (gross income less expenses)	2013-12-31	$-7,904
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$0
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$7,904
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$0
Total plan liabilities at beginning of year	2012-12-31	$800,000
Total income from all sources	2012-12-31	$662,904
Expenses. Total of all expenses incurred	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$7,904
Total plan assets at beginning of year	2012-12-31	$145,000
Other income received	2012-12-31	$662,904
Net income (gross income less expenses)	2012-12-31	$662,904
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$7,904
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$-655,000
Assets. Value of employer securities	2012-12-31	$7,904
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$800,000
Total plan liabilities at beginning of year	2011-12-31	$866,667
Total income from all sources	2011-12-31	$-4,707
Expenses. Total of all expenses incurred	2011-12-31	$33,626
Total plan assets at end of year	2011-12-31	$145,000
Total plan assets at beginning of year	2011-12-31	$250,000
Expenses. Other expenses not covered elsewhere	2011-12-31	$33,626
Other income received	2011-12-31	$-105,000
Net income (gross income less expenses)	2011-12-31	$-38,333
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$-655,000
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$-616,667
Assets. Value of employer securities	2011-12-31	$145,000
Total contributions received or receivable from employer(s)	2011-12-31	$100,293
2010 : RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$866,667
Total plan liabilities at beginning of year	2010-12-31	$933,242
Total income from all sources	2010-12-31	$162,785
Expenses. Total of all expenses incurred	2010-12-31	$36,210
Total plan assets at end of year	2010-12-31	$250,000
Total plan assets at beginning of year	2010-12-31	$190,000
Expenses. Other expenses not covered elsewhere	2010-12-31	$36,210
Other income received	2010-12-31	$60,000
Net income (gross income less expenses)	2010-12-31	$126,575
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$-616,667
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$-743,242
Assets. Value of employer securities	2010-12-31	$250,000
Total contributions received or receivable from employer(s)	2010-12-31	$102,785
2009 : RKI, INC. EMPLOYEE STOCK OWNERSHIP 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
Total plan liabilities at end of year	2009-09-30	$1,000,000
Total income from all sources	2009-09-30	$-770,812
Expenses. Total of all expenses incurred	2009-09-30	$0
Total plan assets at end of year	2009-09-30	$229,188
Total plan assets at beginning of year	2009-09-30	$0
Other income received	2009-09-30	$-860,000
Net income (gross income less expenses)	2009-09-30	$-770,812
Net plan assets at end of year (total assets less liabilities)	2009-09-30	$-770,812
Net plan assets at beginning of year (total assets less liabilities)	2009-09-30	$0
Assets. Value of employer securities	2009-09-30	$14,000
Total contributions received or receivable from employer(s)	2009-09-30	$89,188

Form 5500 Responses for RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN

2013: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	Yes
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: RKI, INC. EMPLOYEE STOCK OWNERSHIP 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: RKI, INC. EMPLOYEE STOCK OWNERSHIP 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
2010: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-10-01	Type of plan entity	Single employer plan
2009-10-01	Submission has been amended	No
2009-10-01	This submission is the final filing	No
2009-10-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2009-10-01	Plan is a collectively bargained plan	No
2009-10-01	Plan funding arrangement – Trust	Yes
2009-10-01	Plan benefit arrangement - Trust	Yes
2008: RKI, INC. EMPLOYEE STOCK OWNERSHIP PLAN 2008 form 5500 responses
2008-10-01	Type of plan entity	Single employer plan
2008-10-01	First time form 5500 has been submitted	Yes
2008-10-01	Submission has been amended	No
2008-10-01	This submission is the final filing	No
2008-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-10-01	Plan is a collectively bargained plan	No
2008-10-01	Plan funding arrangement – Trust	Yes
2008-10-01	Plan benefit arrangement - Trust	Yes

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Company Name:	REDWINE-KRUEGER, INC. DBA RKI
Employer identification number (EIN):	741696643
NAIC Classification:	561490