401k Plan data: PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES plan

PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES 401k Plan overview

Plan Name	PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES
Plan identification number	002

PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES 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

SOUTHWEST WATER COMPANY has sponsored the creation of one or more 401k plans.

Company Name: SOUTHWEST WATER COMPANY

Employer identification number (EIN): 741800544

NAIC Classification: 221300

Additional information about SOUTHWEST WATER COMPANY

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 2002-06-27

Company Identification Number: 0800099536

Legal Registered Office Address: 12535 REED RD ATT: TAX DEPARTMENT FSC

SUGAR LAND
United States of America (USA)
77478

More information about SOUTHWEST WATER COMPANY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2011-01-01 ADRIENNE JACOBS
002 2010-01-01 MARK RODRIGUEZ
002 2009-01-01 MARK RODRIGUEZ

Plan id#	Filing Submission Date	Name of Administrator
002	2011-01-01	ADRIENNE JACOBS
002	2010-01-01	MARK RODRIGUEZ
002	2009-01-01	MARK RODRIGUEZ

Plan Statistics for PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES

401k plan membership statisitcs for PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES

Measure Date Value
2011: PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES 2011 401k membership
Total participants, beginning-of-year 2011-01-01 916
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 0
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 0
Total of all active and inactive participants 2011-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 0
Number of participants with account balances 2011-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES 2010 401k membership
Total participants, beginning-of-year 2010-01-01 1,088
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 811
Number of retired or separated participants receiving benefits 2010-01-01 1
Number of other retired or separated participants entitled to future benefits 2010-01-01 104
Total of all active and inactive participants 2010-01-01 916
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 916
Number of participants with account balances 2010-01-01 337
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 2
2009: PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES 2009 401k membership
Total participants, beginning-of-year 2009-01-01 1,202
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 976
Number of retired or separated participants receiving benefits 2009-01-01 2
Number of other retired or separated participants entitled to future benefits 2009-01-01 110
Total of all active and inactive participants 2009-01-01 1,088
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 1,088
Number of participants with account balances 2009-01-01 382
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 4

Measure	Date	Value
2011: PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES 2011 401k membership
Total participants, beginning-of-year	2011-01-01	916
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	0
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	0
Total of all active and inactive participants	2011-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	0
Number of participants with account balances	2011-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES 2010 401k membership
Total participants, beginning-of-year	2010-01-01	1,088
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	811
Number of retired or separated participants receiving benefits	2010-01-01	1
Number of other retired or separated participants entitled to future benefits	2010-01-01	104
Total of all active and inactive participants	2010-01-01	916
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	916
Number of participants with account balances	2010-01-01	337
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	2
2009: PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES 2009 401k membership
Total participants, beginning-of-year	2009-01-01	1,202
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	976
Number of retired or separated participants receiving benefits	2009-01-01	2
Number of other retired or separated participants entitled to future benefits	2009-01-01	110
Total of all active and inactive participants	2009-01-01	1,088
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	1,088
Number of participants with account balances	2009-01-01	382
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	4

Financial Data on PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES

Measure	Date	Value
2011 : PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES 2011 401k financial data
Total transfer of assets from this plan	2011-12-31	$12,462,255
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	$21,617
Total income from all sources (including contributions)	2011-12-31	$936,200
Total of all expenses incurred	2011-12-31	$1,745,666
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,732,361
Value of total corrective distributions	2011-12-31	$2,263
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$916,088
Value of total assets at end of year	2011-12-31	$0
Value of total assets at beginning of year	2011-12-31	$13,293,338
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$11,042
Total interest from all sources	2011-12-31	$40,490
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$264,278
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2011-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$264,278
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$2,000,000
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
Contributions received from participants	2011-12-31	$701,673
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$496,469
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$19,346
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$14,357
Administrative expenses (other) incurred	2011-12-31	$11,042
Liabilities. Value of operating payables at end of year	2011-12-31	$0
Liabilities. Value of operating payables at beginning of year	2011-12-31	$21,617
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	$-809,466
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$13,271,721
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	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$11,310,478
Interest on participant loans	2011-12-31	$40,326
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$1,462,861
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$1,462,861
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$164
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-284,656
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	Yes
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$200,058
Employer contributions (assets) at end of year	2011-12-31	$0
Employer contributions (assets) at beginning of year	2011-12-31	$4,184
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,732,361
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	No
Did the plan have assets held for investment	2011-12-31	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	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	Yes
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	HOLTHOUSE CARLIN & VAN TRIGT LLP
Accountancy firm EIN	2011-12-31	954345526
2010 : PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES 2010 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$21,617
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$50,370
Total income from all sources (including contributions)	2010-12-31	$2,305,443
Total of all expenses incurred	2010-12-31	$776,567
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$752,363
Expenses. Certain deemed distributions of participant loans	2010-12-31	$3,007
Value of total corrective distributions	2010-12-31	$11,496
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$844,219
Value of total assets at end of year	2010-12-31	$13,293,338
Value of total assets at beginning of year	2010-12-31	$11,793,215
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$9,701
Total interest from all sources	2010-12-31	$42,487
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$178,256
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	$178,256
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
Contributions received from participants	2010-12-31	$647,160
Participant contributions at end of year	2010-12-31	$496,469
Participant contributions at beginning of year	2010-12-31	$516,820
Participant contributions at end of year	2010-12-31	$19,346
Participant contributions at beginning of year	2010-12-31	$13,706
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$7,024
Administrative expenses (other) incurred	2010-12-31	$9,701
Liabilities. Value of operating payables at end of year	2010-12-31	$21,617
Liabilities. Value of operating payables at beginning of year	2010-12-31	$50,370
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	$1,528,876
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$13,271,721
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$11,742,845
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	$11,310,478
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$9,969,442
Interest on participant loans	2010-12-31	$42,229
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$1,462,861
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$1,289,602
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$1,289,602
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$258
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,240,481
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	$190,035
Employer contributions (assets) at end of year	2010-12-31	$4,184
Employer contributions (assets) at beginning of year	2010-12-31	$3,645
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$752,363
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	2010-12-31	No
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	HOLTHOUSE CARLIN AND VAN TRIGHT LLP
Accountancy firm EIN	2010-12-31	954345526
2009 : PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES 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 PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES

2011: PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES 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	Yes
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES 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 funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: PROFIT SHARING 401(K) PLAN FOR THE SOUTHWEST WATER COMPANY'S RELATED COMPANIES 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
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 funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SOUTHWEST WATER COMPANY
Employer identification number (EIN):	741800544
NAIC Classification:	221300

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	2002-06-27
Company Identification Number:	0800099536
Legal Registered Office Address:	12535 REED RD ATT: TAX DEPARTMENT FSC SUGAR LAND United States of America (USA) 77478