401k Plan data: VALE SECURITY RESERVE PLAN plan

VALE SECURITY RESERVE PLAN 401k Plan overview

Plan Name	VALE SECURITY RESERVE PLAN
Plan identification number	002

VALE SECURITY RESERVE 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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

VALE AMERICAS, LLC has sponsored the creation of one or more 401k plans.

Company Name: VALE AMERICAS, LLC

Employer identification number (EIN): 132819978

NAIC Classification: 423500

Form 5500 Filing Information

Submission information for form 5500 for 401k plan VALE SECURITY RESERVE PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01 BURUM HAN 2023-10-04 BURUM HAN 2023-10-04
002 2021-01-01 BURUM HAN 2022-10-11 BURUM HAN 2022-10-11
002 2020-01-01 BURUM HAN 2021-10-07 BURUM HAN 2021-10-07
002 2019-01-01 BURUM HAN 2020-10-13 BURUM HAN 2020-10-13
002 2018-01-01 BURUM HAN 2019-10-10 BURUM HAN 2019-10-10
002 2017-01-01 BURUM HAN 2018-10-12 BURUM HAN 2018-10-12
002 2016-01-01 BURUM HAN BURUM HAN 2017-10-12
002 2015-01-01 BURUM HAN BURUM HAN 2016-10-14
002 2014-01-01 BURUM HAN BURUM HAN 2015-10-15
002 2013-01-01 BURUM HAN
002 2012-01-01 BURUM HAN BURUM HAN 2013-10-11
002 2011-01-01 BURUM HAN
002 2010-01-01 JOYCE STEPHENSON
002 2009-01-01 JOYCE STEPHENSON CARL DELUCA 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2022-01-01	BURUM HAN	2023-10-04	BURUM HAN	2023-10-04
002	2021-01-01	BURUM HAN	2022-10-11	BURUM HAN	2022-10-11
002	2020-01-01	BURUM HAN	2021-10-07	BURUM HAN	2021-10-07
002	2019-01-01	BURUM HAN	2020-10-13	BURUM HAN	2020-10-13
002	2018-01-01	BURUM HAN	2019-10-10	BURUM HAN	2019-10-10
002	2017-01-01	BURUM HAN	2018-10-12	BURUM HAN	2018-10-12
002	2016-01-01	BURUM HAN		BURUM HAN	2017-10-12
002	2015-01-01	BURUM HAN		BURUM HAN	2016-10-14
002	2014-01-01	BURUM HAN		BURUM HAN	2015-10-15
002	2013-01-01	BURUM HAN
002	2012-01-01	BURUM HAN		BURUM HAN	2013-10-11
002	2011-01-01	BURUM HAN
002	2010-01-01	JOYCE STEPHENSON
002	2009-01-01	JOYCE STEPHENSON		CARL DELUCA	2010-10-15

Plan Statistics for VALE SECURITY RESERVE PLAN

401k plan membership statisitcs for VALE SECURITY RESERVE PLAN

Measure Date Value
2016: VALE SECURITY RESERVE PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 83
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 4
Number of retired or separated participants receiving benefits 2016-01-01 1
Number of other retired or separated participants entitled to future benefits 2016-01-01 69
Total of all active and inactive participants 2016-01-01 74
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 4
Total participants 2016-01-01 78
Number of participants with account balances 2016-01-01 75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: VALE SECURITY RESERVE PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 87
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 6
Number of retired or separated participants receiving benefits 2015-01-01 1
Number of other retired or separated participants entitled to future benefits 2015-01-01 72
Total of all active and inactive participants 2015-01-01 79
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 4
Total participants 2015-01-01 83
Number of participants with account balances 2015-01-01 80
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: VALE SECURITY RESERVE PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 103
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 6
Number of retired or separated participants receiving benefits 2014-01-01 1
Number of other retired or separated participants entitled to future benefits 2014-01-01 76
Total of all active and inactive participants 2014-01-01 83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 4
Total participants 2014-01-01 87
Number of participants with account balances 2014-01-01 84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: VALE SECURITY RESERVE PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 125
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 15
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 87
Total of all active and inactive participants 2013-01-01 102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 4
Total participants 2013-01-01 106
Number of participants with account balances 2013-01-01 96
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: VALE SECURITY RESERVE PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 145
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 16
Number of retired or separated participants receiving benefits 2012-01-01 2
Number of other retired or separated participants entitled to future benefits 2012-01-01 100
Total of all active and inactive participants 2012-01-01 118
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 5
Total participants 2012-01-01 123
Number of participants with account balances 2012-01-01 113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: VALE SECURITY RESERVE PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 179
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 28
Number of retired or separated participants receiving benefits 2011-01-01 3
Number of other retired or separated participants entitled to future benefits 2011-01-01 109
Total of all active and inactive participants 2011-01-01 140
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 4
Total participants 2011-01-01 144
Number of participants with account balances 2011-01-01 133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: VALE SECURITY RESERVE PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 225
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 30
Number of retired or separated participants receiving benefits 2010-01-01 4
Number of other retired or separated participants entitled to future benefits 2010-01-01 136
Total of all active and inactive participants 2010-01-01 170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 3
Total participants 2010-01-01 173
Number of participants with account balances 2010-01-01 165
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: VALE SECURITY RESERVE PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 210
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 85
Number of retired or separated participants receiving benefits 2009-01-01 1
Number of other retired or separated participants entitled to future benefits 2009-01-01 56
Total of all active and inactive participants 2009-01-01 142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 2
Total participants 2009-01-01 144
Number of participants with account balances 2009-01-01 100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2016: VALE SECURITY RESERVE PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	83
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	4
Number of retired or separated participants receiving benefits	2016-01-01	1
Number of other retired or separated participants entitled to future benefits	2016-01-01	69
Total of all active and inactive participants	2016-01-01	74
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	4
Total participants	2016-01-01	78
Number of participants with account balances	2016-01-01	75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: VALE SECURITY RESERVE PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	87
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	6
Number of retired or separated participants receiving benefits	2015-01-01	1
Number of other retired or separated participants entitled to future benefits	2015-01-01	72
Total of all active and inactive participants	2015-01-01	79
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	4
Total participants	2015-01-01	83
Number of participants with account balances	2015-01-01	80
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: VALE SECURITY RESERVE PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	103
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	6
Number of retired or separated participants receiving benefits	2014-01-01	1
Number of other retired or separated participants entitled to future benefits	2014-01-01	76
Total of all active and inactive participants	2014-01-01	83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	4
Total participants	2014-01-01	87
Number of participants with account balances	2014-01-01	84
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: VALE SECURITY RESERVE PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	125
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	15
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	87
Total of all active and inactive participants	2013-01-01	102
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	4
Total participants	2013-01-01	106
Number of participants with account balances	2013-01-01	96
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: VALE SECURITY RESERVE PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	145
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	16
Number of retired or separated participants receiving benefits	2012-01-01	2
Number of other retired or separated participants entitled to future benefits	2012-01-01	100
Total of all active and inactive participants	2012-01-01	118
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	5
Total participants	2012-01-01	123
Number of participants with account balances	2012-01-01	113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: VALE SECURITY RESERVE PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	179
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	28
Number of retired or separated participants receiving benefits	2011-01-01	3
Number of other retired or separated participants entitled to future benefits	2011-01-01	109
Total of all active and inactive participants	2011-01-01	140
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	4
Total participants	2011-01-01	144
Number of participants with account balances	2011-01-01	133
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: VALE SECURITY RESERVE PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	225
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	30
Number of retired or separated participants receiving benefits	2010-01-01	4
Number of other retired or separated participants entitled to future benefits	2010-01-01	136
Total of all active and inactive participants	2010-01-01	170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	3
Total participants	2010-01-01	173
Number of participants with account balances	2010-01-01	165
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: VALE SECURITY RESERVE PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	210
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	85
Number of retired or separated participants receiving benefits	2009-01-01	1
Number of other retired or separated participants entitled to future benefits	2009-01-01	56
Total of all active and inactive participants	2009-01-01	142
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	2
Total participants	2009-01-01	144
Number of participants with account balances	2009-01-01	100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on VALE SECURITY RESERVE PLAN

Measure	Date	Value
2016 : VALE SECURITY RESERVE PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$809,745
Expenses. Total of all expenses incurred	2016-12-31	$1,412,731
Benefits paid (including direct rollovers)	2016-12-31	$1,412,731
Total plan assets at end of year	2016-12-31	$16,479,298
Total plan assets at beginning of year	2016-12-31	$17,082,284
Value of fidelity bond covering the plan	2016-12-31	$1,000,000
Total contributions received or receivable from participants	2016-12-31	$94,793
Other income received	2016-12-31	$550,218
Net income (gross income less expenses)	2016-12-31	$-602,986
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$16,479,298
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$17,082,284
Total contributions received or receivable from employer(s)	2016-12-31	$164,734
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2015 : VALE SECURITY RESERVE PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$937,579
Expenses. Total of all expenses incurred	2015-12-31	$1,063,295
Benefits paid (including direct rollovers)	2015-12-31	$1,063,295
Total plan assets at end of year	2015-12-31	$17,082,284
Total plan assets at beginning of year	2015-12-31	$17,208,000
Value of fidelity bond covering the plan	2015-12-31	$1,000,000
Total contributions received or receivable from participants	2015-12-31	$115,189
Other income received	2015-12-31	$701,913
Net income (gross income less expenses)	2015-12-31	$-125,716
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$17,082,284
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$17,208,000
Total contributions received or receivable from employer(s)	2015-12-31	$120,477
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : VALE SECURITY RESERVE PLAN 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	$1,615,000
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$2,782,000
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$2,782,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$233,000
Value of total assets at end of year	2014-12-31	$17,208,000
Value of total assets at beginning of year	2014-12-31	$18,375,000
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$0
Total interest from all sources	2014-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$708,541
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$708,541
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$1,000,000
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	$106,000
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$10,000
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	$-1,167,000
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$17,208,000
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$18,375,000
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 registered invesment companies (eg mutual funds) at end of year	2014-12-31	$11,836,000
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$12,105,000
Value of interest in common/collective trusts at end of year	2014-12-31	$5,372,000
Value of interest in common/collective trusts at beginning of year	2014-12-31	$6,260,000
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$536,772
Net investment gain or loss from common/collective trusts	2014-12-31	$136,687
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	No
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	$127,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$2,782,000
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	KPMG, LLP
Accountancy firm EIN	2014-12-31	135565207
2013 : VALE SECURITY RESERVE PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
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	$3,142,000
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$2,522,000
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$2,522,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$218,000
Value of total assets at end of year	2013-12-31	$18,375,000
Value of total assets at beginning of year	2013-12-31	$17,755,000
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$0
Total interest from all sources	2013-12-31	$1,000
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$295,014
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$295,014
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$20,000,000
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	$106,000
Participant contributions at end of year	2013-12-31	$10,000
Participant contributions at beginning of year	2013-12-31	$35,000
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$10,000
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	$620,000
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$18,375,000
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$17,755,000
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 registered invesment companies (eg mutual funds) at end of year	2013-12-31	$12,105,000
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$11,493,000
Interest on participant loans	2013-12-31	$1,000
Value of interest in common/collective trusts at end of year	2013-12-31	$6,260,000
Value of interest in common/collective trusts at beginning of year	2013-12-31	$6,227,000
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$2,565,000
Net investment gain or loss from common/collective trusts	2013-12-31	$62,986
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	No
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	$112,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$2,512,000
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	PRICEWATERHOUSECOOPERS, LLP.
Accountancy firm EIN	2013-12-31	134008324
2012 : VALE SECURITY RESERVE PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets from this plan	2012-12-31	$1,650,000
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	$2,134,000
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$4,741,000
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$4,741,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$222,000
Value of total assets at end of year	2012-12-31	$17,755,000
Value of total assets at beginning of year	2012-12-31	$22,012,000
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$0
Total interest from all sources	2012-12-31	$2,000
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$314,553
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$314,553
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$20,000,000
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	$95,000
Participant contributions at end of year	2012-12-31	$35,000
Participant contributions at beginning of year	2012-12-31	$56,000
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	$-2,607,000
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$17,755,000
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$22,012,000
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 registered invesment companies (eg mutual funds) at end of year	2012-12-31	$11,493,000
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$13,239,000
Interest on participant loans	2012-12-31	$2,000
Value of interest in common/collective trusts at end of year	2012-12-31	$6,227,000
Value of interest in common/collective trusts at beginning of year	2012-12-31	$8,717,000
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,420,000
Net investment gain or loss from common/collective trusts	2012-12-31	$175,447
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	No
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	$127,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$4,741,000
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	PRICEWATERHOUSECOOPERS. LLP.
Accountancy firm EIN	2012-12-31	134008324
2011 : VALE SECURITY RESERVE PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets from this plan	2011-12-31	$1,441,000
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	$1,226,000
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$5,994,000
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$5,994,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$159,000
Value of total assets at end of year	2011-12-31	$22,012,000
Value of total assets at beginning of year	2011-12-31	$28,221,000
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$0
Total interest from all sources	2011-12-31	$4,000
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$516,305
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$516,305
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$20,000,000
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	$105,000
Participant contributions at end of year	2011-12-31	$56,000
Participant contributions at beginning of year	2011-12-31	$116,000
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	$-4,768,000
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$22,012,000
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$28,221,000
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	$13,239,000
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$17,295,000
Interest on participant loans	2011-12-31	$4,000
Value of interest in common/collective trusts at end of year	2011-12-31	$8,717,000
Value of interest in common/collective trusts at beginning of year	2011-12-31	$10,810,000
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$321,000
Net investment gain or loss from common/collective trusts	2011-12-31	$225,695
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
Contributions received in cash from employer	2011-12-31	$54,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$5,994,000
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	PRICEWATERHOUSECOOPERS, LLP.
Accountancy firm EIN	2011-12-31	134008324
2010 : VALE SECURITY RESERVE PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total transfer of assets from this plan	2010-12-31	$50,000
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	$2,906,000
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$4,503,000
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$4,500,269
Value of total corrective distributions	2010-12-31	$2,671
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$393,000
Value of total assets at end of year	2010-12-31	$28,221,000
Value of total assets at beginning of year	2010-12-31	$29,868,000
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$60
Total interest from all sources	2010-12-31	$14,000
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$459,579
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	$459,579
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$20,000,000
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	$270,000
Participant contributions at end of year	2010-12-31	$116,000
Participant contributions at beginning of year	2010-12-31	$436,000
Administrative expenses (other) incurred	2010-12-31	$60
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	$-1,597,000
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$28,221,000
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$29,868,000
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	$17,295,000
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$17,449,000
Interest on participant loans	2010-12-31	$14,000
Value of interest in common/collective trusts at end of year	2010-12-31	$10,810,000
Value of interest in common/collective trusts at beginning of year	2010-12-31	$11,983,000
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$2,209,000
Net investment gain or loss from common/collective trusts	2010-12-31	$-169,579
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	$123,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$4,500,269
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	PRICEWATERHOUSECOOPERS, LLP.
Accountancy firm EIN	2010-12-31	134008324
2009 : VALE SECURITY RESERVE 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

Form 5500 Responses for VALE SECURITY RESERVE PLAN

2016: VALE SECURITY RESERVE PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: VALE SECURITY RESERVE PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: VALE SECURITY RESERVE PLAN 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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: VALE SECURITY RESERVE 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	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 – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: VALE SECURITY RESERVE 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: VALE SECURITY RESERVE 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: VALE SECURITY RESERVE 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: VALE SECURITY RESERVE PLAN 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	VALE AMERICAS, LLC
Employer identification number (EIN):	132819978
NAIC Classification:	423500