401k Plan data: CITATIONSHARES 401(K) PROFIT SHARING PLAN plan

CITATIONSHARES 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	CITATIONSHARES 401(K) PROFIT SHARING PLAN
Plan identification number	001

CITATIONSHARES 401(K) PROFIT SHARING PLAN 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.
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.

401k Sponsoring company profile

CITATIONSHARES MANAGEMENT LLC has sponsored the creation of one or more 401k plans.

Company Name: CITATIONSHARES MANAGEMENT LLC

Employer identification number (EIN): 134054855

NAIC Classification: 481000
NAIC Description: Air Transportation

Additional information about CITATIONSHARES MANAGEMENT LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3024044

More information about CITATIONSHARES MANAGEMENT LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CITATIONSHARES 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 CLAUDIA MOJKOWSKI
001 2011-01-01 CLAUDIA MOJKOWSKI
001 2010-01-01 FRANCES AVERY
001 2009-01-01 FRANCES AVERY

Plan id#	Filing Submission Date	Name of Administrator
001	2012-01-01	CLAUDIA MOJKOWSKI
001	2011-01-01	CLAUDIA MOJKOWSKI
001	2010-01-01	FRANCES AVERY
001	2009-01-01	FRANCES AVERY

Plan Statistics for CITATIONSHARES 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for CITATIONSHARES 401(K) PROFIT SHARING PLAN

Measure Date Value
2012: CITATIONSHARES 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 700
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: CITATIONSHARES 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 703
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 534
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 159
Total of all active and inactive participants 2011-01-01 693
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 7
Total participants 2011-01-01 700
Number of participants with account balances 2011-01-01 620
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: CITATIONSHARES 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 750
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 529
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 167
Total of all active and inactive participants 2010-01-01 696
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 7
Total participants 2010-01-01 703
Number of participants with account balances 2010-01-01 638
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 7
2009: CITATIONSHARES 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 823
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 565
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 180
Total of all active and inactive participants 2009-01-01 745
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 5
Total participants 2009-01-01 750
Number of participants with account balances 2009-01-01 663
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 80

Measure	Date	Value
2012: CITATIONSHARES 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	700
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: CITATIONSHARES 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	703
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	534
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	159
Total of all active and inactive participants	2011-01-01	693
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	7
Total participants	2011-01-01	700
Number of participants with account balances	2011-01-01	620
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: CITATIONSHARES 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	750
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	529
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	167
Total of all active and inactive participants	2010-01-01	696
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	7
Total participants	2010-01-01	703
Number of participants with account balances	2010-01-01	638
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	7
2009: CITATIONSHARES 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	823
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	565
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	180
Total of all active and inactive participants	2009-01-01	745
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	5
Total participants	2009-01-01	750
Number of participants with account balances	2009-01-01	663
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	80

Financial Data on CITATIONSHARES 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2012 : CITATIONSHARES 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total transfer of assets from this plan	2012-03-29	$35,241,540
Total income from all sources (including contributions)	2012-03-29	$3,377,332
Total of all expenses incurred	2012-03-29	$3,153,481
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-03-29	$3,152,124
Value of total assets at end of year	2012-03-29	$0
Value of total assets at beginning of year	2012-03-29	$35,017,689
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-03-29	$1,357
Total interest from all sources	2012-03-29	$25,591
Total dividends received (eg from common stock, registered investment company shares)	2012-03-29	$18,371
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-03-29	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-03-29	$0
Total dividends received from registered investment company shares (eg mutual funds)	2012-03-29	$18,371
Was this plan covered by a fidelity bond	2012-03-29	Yes
Value of fidelity bond cover	2012-03-29	$10,000,000
If this is an individual account plan, was there a blackout period	2012-03-29	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-03-29	$0
Were there any nonexempt tranactions with any party-in-interest	2012-03-29	No
Participant contributions at end of year	2012-03-29	$0
Participant contributions at beginning of year	2012-03-29	$1,139,996
Administrative expenses (other) incurred	2012-03-29	$1,357
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-03-29	No
Value of net income/loss	2012-03-29	$223,851
Value of net assets at end of year (total assets less liabilities)	2012-03-29	$0
Value of net assets at beginning of year (total assets less liabilities)	2012-03-29	$35,017,689
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-03-29	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-03-29	No
Were any leases to which the plan was party in default or uncollectible	2012-03-29	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-03-29	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-03-29	$30,053,059
Interest on participant loans	2012-03-29	$25,591
Value of interest in common/collective trusts at end of year	2012-03-29	$0
Value of interest in common/collective trusts at beginning of year	2012-03-29	$3,824,634
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-03-29	$3,415,663
Net investment gain or loss from common/collective trusts	2012-03-29	$-82,293
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-03-29	No
Was there a failure to transmit to the plan any participant contributions	2012-03-29	No
Has the plan failed to provide any benefit when due under the plan	2012-03-29	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-03-29	$3,152,124
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	2012-03-29	No
Did the plan have assets held for investment	2012-03-29	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	2012-03-29	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-03-29	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-03-29	Yes
Opinion of an independent qualified public accountant for this plan	2012-03-29	Disclaimer
Accountancy firm name	2012-03-29	ERNST & YOUJNG LLP
Accountancy firm EIN	2012-03-29	346565596
2011 : CITATIONSHARES 401(K) PROFIT SHARING PLAN 2011 401k financial data
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	$3,915,312
Total of all expenses incurred	2011-12-31	$1,512,028
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,506,257
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$4,680,937
Value of total assets at end of year	2011-12-31	$35,017,689
Value of total assets at beginning of year	2011-12-31	$32,614,405
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$5,771
Total interest from all sources	2011-12-31	$95,164
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$691,504
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	$691,504
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$10,000,000
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	$3,554,163
Participant contributions at end of year	2011-12-31	$1,139,996
Participant contributions at beginning of year	2011-12-31	$1,018,839
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$64,069
Administrative expenses (other) incurred	2011-12-31	$5,771
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	$2,403,284
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$35,017,689
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$32,614,405
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	$30,053,059
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$28,782,780
Interest on participant loans	2011-12-31	$95,164
Value of interest in common/collective trusts at end of year	2011-12-31	$3,824,634
Value of interest in common/collective trusts at beginning of year	2011-12-31	$2,812,786
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-1,667,044
Net investment gain or loss from common/collective trusts	2011-12-31	$114,751
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	$1,062,705
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,506,257
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	Qualified
Accountancy firm name	2011-12-31	ERNST & YOUNG LLP
Accountancy firm EIN	2011-12-31	346565596
2010 : CITATIONSHARES 401(K) PROFIT SHARING PLAN 2010 401k financial data
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	$8,502,760
Total of all expenses incurred	2010-12-31	$1,788,370
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,778,023
Value of total corrective distributions	2010-12-31	$4,142
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$4,578,036
Value of total assets at end of year	2010-12-31	$32,614,405
Value of total assets at beginning of year	2010-12-31	$25,900,015
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$6,205
Total interest from all sources	2010-12-31	$77,867
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$440,524
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	$440,524
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
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	$3,320,214
Participant contributions at end of year	2010-12-31	$1,018,839
Participant contributions at beginning of year	2010-12-31	$710,177
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$246,077
Administrative expenses (other) incurred	2010-12-31	$6,205
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	$6,714,390
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$32,614,405
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$25,900,015
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	$28,782,780
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$21,334,082
Interest on participant loans	2010-12-31	$77,867
Value of interest in common/collective trusts at end of year	2010-12-31	$2,812,786
Value of interest in common/collective trusts at beginning of year	2010-12-31	$3,855,756
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$3,267,639
Net investment gain or loss from common/collective trusts	2010-12-31	$138,694
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	$1,011,745
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,778,023
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	ERNST & YOUNG LLP
Accountancy firm EIN	2010-12-31	346565596
2009 : CITATIONSHARES 401(K) PROFIT SHARING 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 CITATIONSHARES 401(K) PROFIT SHARING PLAN

2012: CITATIONSHARES 401(K) PROFIT SHARING 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	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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CITATIONSHARES 401(K) PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	Yes
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 funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: CITATIONSHARES 401(K) PROFIT SHARING 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 funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: CITATIONSHARES 401(K) PROFIT SHARING 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:	CITATIONSHARES MANAGEMENT LLC
Employer identification number (EIN):	134054855
NAIC Classification:	481000
NAIC Description:	Air Transportation

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3024044