401k Plan data: RED OAK WATER TRANSFER 401(K) PLAN plan

RED OAK WATER TRANSFER 401(K) PLAN 401k Plan overview

Plan Name	RED OAK WATER TRANSFER 401(K) PLAN
Plan identification number	001

RED OAK WATER TRANSFER 401(K) 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.
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

RED OAK WATER TRANSFER, INC. has sponsored the creation of one or more 401k plans.

Company Name: RED OAK WATER TRANSFER, INC.

Employer identification number (EIN): 800619850

NAIC Classification: 483000
NAIC Description: Water Transportation

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RED OAK WATER TRANSFER 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 LETA MCKINLEY
001 2011-01-01 LETA MCKINLEY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2012-01-01	LETA MCKINLEY
001	2011-01-01	LETA MCKINLEY

Plan Statistics for RED OAK WATER TRANSFER 401(K) PLAN

401k plan membership statisitcs for RED OAK WATER TRANSFER 401(K) PLAN

Measure Date Value
2012: RED OAK WATER TRANSFER 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 450
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
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 0
Total of all active and inactive participants 2012-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 0
Number of participants with account balances 2012-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: RED OAK WATER TRANSFER 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 238
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 450
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 2011-01-01 450
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 450
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 52

Measure	Date	Value
2012: RED OAK WATER TRANSFER 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	450
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
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	0
Total of all active and inactive participants	2012-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	0
Number of participants with account balances	2012-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: RED OAK WATER TRANSFER 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	238
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	450
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	450
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	450
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	52

Financial Data on RED OAK WATER TRANSFER 401(K) PLAN

Measure	Date	Value
2012 : RED OAK WATER TRANSFER 401(K) PLAN 2012 401k financial data
Total transfer of assets from this plan	2012-01-01	$373,328
Value of total assets at end of year	2012-01-01	$0
Value of total assets at beginning of year	2012-01-01	$373,328
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-01-01	No
Was this plan covered by a fidelity bond	2012-01-01	Yes
Value of fidelity bond cover	2012-01-01	$500,000
If this is an individual account plan, was there a blackout period	2012-01-01	Yes
Were there any nonexempt tranactions with any party-in-interest	2012-01-01	No
Total non interest bearing cash at end of year	2012-01-01	$0
Total non interest bearing cash at beginning of year	2012-01-01	$373,328
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-01-01	No
Value of net assets at end of year (total assets less liabilities)	2012-01-01	$0
Value of net assets at beginning of year (total assets less liabilities)	2012-01-01	$373,328
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-01-01	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-01-01	No
Were any leases to which the plan was party in default or uncollectible	2012-01-01	No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-01-01	No
Was there a failure to transmit to the plan any participant contributions	2012-01-01	No
Has the plan failed to provide any benefit when due under the plan	2012-01-01	No
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	2012-01-01	Yes
Did the plan have assets held for investment	2012-01-01	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	2012-01-01	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-01-01	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-01-01	Yes
Opinion of an independent qualified public accountant for this plan	2012-01-01	Disclaimer
Accountancy firm name	2012-01-01	WHITLEY PENN LLP
Accountancy firm EIN	2012-01-01	752393478
2011 : RED OAK WATER TRANSFER 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	$390,149
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$16,821
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$15,406
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$400,740
Value of total assets at end of year	2011-12-31	$373,328
Value of total assets at beginning of year	2011-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$1,415
Total interest from all sources	2011-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
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	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	$354,139
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$46,601
Total non interest bearing cash at end of year	2011-12-31	$373,328
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	$373,328
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$373,328
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$0
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
Net investment gain/loss from pooled separate accounts	2011-12-31	$-10,591
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	$15,406
Contract administrator fees	2011-12-31	$1,415
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	WHITLEY PENN LLP
Accountancy firm EIN	2011-12-31	752393478

Form 5500 Responses for RED OAK WATER TRANSFER 401(K) PLAN

2012: RED OAK WATER TRANSFER 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	This submission is the final filing	Yes
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: RED OAK WATER TRANSFER 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	First time form 5500 has been submitted	Yes
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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	RED OAK WATER TRANSFER, INC.
Employer identification number (EIN):	800619850
NAIC Classification:	483000
NAIC Description:	Water Transportation