401k Plan data: VAUPELL 401(K) PLAN & TRUST plan

VAUPELL 401(K) PLAN & TRUST 401k Plan overview

Plan Name	VAUPELL 401(K) PLAN & TRUST
Plan identification number	001

VAUPELL 401(K) PLAN & TRUST 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

VAUPELL HOLDINGS, INC has sponsored the creation of one or more 401k plans.

Company Name: VAUPELL HOLDINGS, INC

Employer identification number (EIN): 910661420

NAIC Classification: 332110

Additional information about VAUPELL HOLDINGS, INC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 2842633

More information about VAUPELL HOLDINGS, INC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan VAUPELL 401(K) PLAN & TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 MARY PORTER MARY PORTER 2015-10-12
001 2013-01-01 MARY PORTER
001 2012-01-01 MARY PORTER MARY PORTER 2013-09-20
001 2011-01-01 MARY PORTER
001 2010-01-01 MARY PORTER
001 2009-01-01 MARY PORTER

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01	MARY PORTER	MARY PORTER	2015-10-12
001	2013-01-01	MARY PORTER
001	2012-01-01	MARY PORTER	MARY PORTER	2013-09-20
001	2011-01-01	MARY PORTER
001	2010-01-01	MARY PORTER
001	2009-01-01	MARY PORTER

Plan Statistics for VAUPELL 401(K) PLAN & TRUST

401k plan membership statisitcs for VAUPELL 401(K) PLAN & TRUST

Measure Date Value
2014: VAUPELL 401(K) PLAN & TRUST 2014 401k membership
Total participants, beginning-of-year 2014-01-01 842
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 633
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 148
Total of all active and inactive participants 2014-01-01 781
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 781
Number of participants with account balances 2014-01-01 552
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 51
2013: VAUPELL 401(K) PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 784
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 666
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 145
Total of all active and inactive participants 2013-01-01 811
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 811
Number of participants with account balances 2013-01-01 576
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 55
2012: VAUPELL 401(K) PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 680
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 653
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 111
Total of all active and inactive participants 2012-01-01 764
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 764
Number of participants with account balances 2012-01-01 458
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 27
2011: VAUPELL 401(K) PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 545
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 452
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 95
Total of all active and inactive participants 2011-01-01 547
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 547
Number of participants with account balances 2011-01-01 356
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 20
2010: VAUPELL 401(K) PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year 2010-01-01 511
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 439
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 89
Total of all active and inactive participants 2010-01-01 528
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 528
Number of participants with account balances 2010-01-01 368
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 19
2009: VAUPELL 401(K) PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 569
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 416
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 90
Total of all active and inactive participants 2009-01-01 506
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 1
Total participants 2009-01-01 507
Number of participants with account balances 2009-01-01 369
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 45

Measure	Date	Value
2014: VAUPELL 401(K) PLAN & TRUST 2014 401k membership
Total participants, beginning-of-year	2014-01-01	842
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	633
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	148
Total of all active and inactive participants	2014-01-01	781
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	781
Number of participants with account balances	2014-01-01	552
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	51
2013: VAUPELL 401(K) PLAN & TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	784
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	666
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	145
Total of all active and inactive participants	2013-01-01	811
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	811
Number of participants with account balances	2013-01-01	576
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	55
2012: VAUPELL 401(K) PLAN & TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	680
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	653
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	111
Total of all active and inactive participants	2012-01-01	764
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	764
Number of participants with account balances	2012-01-01	458
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	27
2011: VAUPELL 401(K) PLAN & TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	545
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	452
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	95
Total of all active and inactive participants	2011-01-01	547
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	547
Number of participants with account balances	2011-01-01	356
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	20
2010: VAUPELL 401(K) PLAN & TRUST 2010 401k membership
Total participants, beginning-of-year	2010-01-01	511
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	439
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	89
Total of all active and inactive participants	2010-01-01	528
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	528
Number of participants with account balances	2010-01-01	368
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	19
2009: VAUPELL 401(K) PLAN & TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	569
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	416
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	90
Total of all active and inactive participants	2009-01-01	506
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	1
Total participants	2009-01-01	507
Number of participants with account balances	2009-01-01	369
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	45

Financial Data on VAUPELL 401(K) PLAN & TRUST

Measure	Date	Value
2014 : VAUPELL 401(K) PLAN & TRUST 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$3,059,516
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$1,496,868
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,450,632
Expenses. Certain deemed distributions of participant loans	2014-12-31	$2,802
Value of total corrective distributions	2014-12-31	$20,549
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$1,638,408
Value of total assets at end of year	2014-12-31	$20,418,027
Value of total assets at beginning of year	2014-12-31	$18,855,379
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$22,885
Total interest from all sources	2014-12-31	$98,669
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$300,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,390,326
Participant contributions at end of year	2014-12-31	$220,160
Participant contributions at beginning of year	2014-12-31	$242,769
Participant contributions at end of year	2014-12-31	$29,064
Participant contributions at beginning of year	2014-12-31	$44,730
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$5,013
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$58
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$1,562,648
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$20,418,027
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$18,855,379
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in pooled separate accounts at end of year	2014-12-31	$17,481,455
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$15,966,162
Interest on participant loans	2014-12-31	$9,269
Interest earned on other investments	2014-12-31	$89,400
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$2,681,947
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$2,594,922
Net investment gain/loss from pooled separate accounts	2014-12-31	$1,322,439
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$243,069
Employer contributions (assets) at end of year	2014-12-31	$5,401
Employer contributions (assets) at beginning of year	2014-12-31	$6,796
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,450,574
Contract administrator fees	2014-12-31	$22,885
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	CROWE HORWATH LLP
Accountancy firm EIN	2014-12-31	350921680
2013 : VAUPELL 401(K) PLAN & TRUST 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$3,166,442
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$4,533,737
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$921,573
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$890,813
Value of total corrective distributions	2013-12-31	$6,760
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,542,294
Value of total assets at end of year	2013-12-31	$18,855,379
Value of total assets at beginning of year	2013-12-31	$12,076,773
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$24,000
Total interest from all sources	2013-12-31	$98,512
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$300,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,312,656
Participant contributions at end of year	2013-12-31	$242,769
Participant contributions at beginning of year	2013-12-31	$134,323
Participant contributions at end of year	2013-12-31	$44,730
Participant contributions at beginning of year	2013-12-31	$52,532
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$3,612,164
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$18,855,379
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$12,076,773
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in pooled separate accounts at end of year	2013-12-31	$15,966,162
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$9,884,672
Interest on participant loans	2013-12-31	$10,225
Interest earned on other investments	2013-12-31	$88,287
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$2,594,922
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$1,995,767
Net investment gain/loss from pooled separate accounts	2013-12-31	$2,892,931
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$229,638
Employer contributions (assets) at end of year	2013-12-31	$6,796
Employer contributions (assets) at beginning of year	2013-12-31	$9,479
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$890,813
Contract administrator fees	2013-12-31	$24,000
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	2013-12-31	No
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	CROWE HORWATH LLP
Accountancy firm EIN	2013-12-31	350921680
2012 : VAUPELL 401(K) PLAN & TRUST 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	$2,500,947
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$530,109
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$508,853
Value of total corrective distributions	2012-12-31	$4,217
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,176,980
Value of total assets at end of year	2012-12-31	$12,076,773
Value of total assets at beginning of year	2012-12-31	$10,105,935
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$17,039
Total interest from all sources	2012-12-31	$81,036
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
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	$998,943
Participant contributions at end of year	2012-12-31	$134,323
Participant contributions at beginning of year	2012-12-31	$105,578
Participant contributions at end of year	2012-12-31	$52,532
Participant contributions at beginning of year	2012-12-31	$31,661
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$16,131
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	$1,970,838
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$12,076,773
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$10,105,935
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 pooled separate accounts at end of year	2012-12-31	$9,884,672
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$8,137,819
Interest on participant loans	2012-12-31	$4,974
Interest earned on other investments	2012-12-31	$76,062
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$1,995,767
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$1,825,192
Net investment gain/loss from pooled separate accounts	2012-12-31	$1,242,931
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	Yes
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$161,906
Employer contributions (assets) at end of year	2012-12-31	$9,479
Employer contributions (assets) at beginning of year	2012-12-31	$5,685
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$508,853
Contract administrator fees	2012-12-31	$17,039
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	2012-12-31	No
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	CROWE HORWATH LLP
Accountancy firm EIN	2012-12-31	350921680
2011 : VAUPELL 401(K) PLAN & TRUST 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	$885,882
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$374,272
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$357,449
Value of total corrective distributions	2011-12-31	$2,096
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,037,723
Value of total assets at end of year	2011-12-31	$10,105,935
Value of total assets at beginning of year	2011-12-31	$9,594,325
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$14,727
Total interest from all sources	2011-12-31	$76,927
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	$1,000,000
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	$877,667
Participant contributions at end of year	2011-12-31	$105,578
Participant contributions at beginning of year	2011-12-31	$81,215
Participant contributions at end of year	2011-12-31	$31,661
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	$511,610
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$10,105,935
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$9,594,325
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 pooled separate accounts at end of year	2011-12-31	$8,137,819
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$7,938,834
Interest on participant loans	2011-12-31	$4,998
Interest earned on other investments	2011-12-31	$71,929
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$1,825,192
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$1,574,276
Net investment gain/loss from pooled separate accounts	2011-12-31	$-228,768
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	$160,056
Employer contributions (assets) at end of year	2011-12-31	$5,685
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$357,449
Contract administrator fees	2011-12-31	$14,727
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	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	CROWE HORWATH LLP
Accountancy firm EIN	2011-12-31	350921689
2010 : VAUPELL 401(K) PLAN & TRUST 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	$1,877,710
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$532,016
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$511,530
Value of total corrective distributions	2010-12-31	$5,267
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$931,057
Value of total assets at end of year	2010-12-31	$9,594,325
Value of total assets at beginning of year	2010-12-31	$8,248,631
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$15,219
Total interest from all sources	2010-12-31	$70,641
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$300,000
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	$828,640
Participant contributions at end of year	2010-12-31	$81,215
Participant contributions at beginning of year	2010-12-31	$29,022
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$27,153
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	$1,345,694
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$9,594,325
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$8,248,631
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 pooled separate accounts at end of year	2010-12-31	$7,938,834
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$6,758,827
Interest on participant loans	2010-12-31	$3,071
Interest earned on other investments	2010-12-31	$67,570
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$1,574,276
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$1,460,782
Net investment gain/loss from pooled separate accounts	2010-12-31	$876,012
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	Yes
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	$75,264
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$511,530
Contract administrator fees	2010-12-31	$15,219
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	BENSON & MCLAUGHLIN
Accountancy firm EIN	2010-12-31	910886788
2009 : VAUPELL 401(K) PLAN & TRUST 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 VAUPELL 401(K) PLAN & TRUST

2014: VAUPELL 401(K) PLAN & TRUST 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: VAUPELL 401(K) PLAN & TRUST 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	No
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 – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: VAUPELL 401(K) PLAN & TRUST 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 – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: VAUPELL 401(K) PLAN & TRUST 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: VAUPELL 401(K) PLAN & TRUST 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 – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: VAUPELL 401(K) PLAN & TRUST 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 is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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VAUPELL 401(K) PLAN & TRUST [EIN = 650867119]

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Company Name:	VAUPELL HOLDINGS, INC
Employer identification number (EIN):	910661420
NAIC Classification:	332110

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	2842633