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SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST 401k Plan overview

Plan NameSUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST
Plan identification number 001

SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST Benefits

401k Plan TypeDefined 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.
  • 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.
  • Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

SUZLON ROTOR CORPORATION has sponsored the creation of one or more 401k plans.

Company Name:SUZLON ROTOR CORPORATION
Employer identification number (EIN):203276287
NAIC Classification:326100

Additional information about SUZLON ROTOR CORPORATION

Jurisdiction of Incorporation: State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number: 4012282

More information about SUZLON ROTOR CORPORATION

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012015-01-01CLAUDIA MANN2015-04-29
0012014-01-01CLAUDIA MANN2015-03-25
0012013-01-01TROY ZWART2014-06-16
0012012-01-01MIKE HAHN2013-07-30
0012011-01-01MIKE HAHN
0012009-01-01ZACH ANDERSON ZACH ANDERSON2010-10-08
0012009-01-01ZACH ANDERSON
0012008-01-01ZACH ANDERSON ZACH ANDERSON2010-10-14
0012008-01-01ZACH ANDERSON
0012007-01-01ZACH ANDERSON ZACH ANDERSON2010-10-14
0012007-01-01ZACH ANDERSON
0012006-01-01ZACH ANDERSON ZACH ANDERSON2010-10-14

Plan Statistics for SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST

401k plan membership statisitcs for SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST

Measure Date Value
2011: SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year2011-01-01153
Total number of active participants reported on line 7a of the Form 55002011-01-0119
Number of retired or separated participants receiving benefits2011-01-0117
Number of other retired or separated participants entitled to future benefits2011-01-010
Total of all active and inactive participants2011-01-0136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-0136
Number of participants with account balances2011-01-0132
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2009: SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year2009-01-01429
Total number of active participants reported on line 7a of the Form 55002009-01-01155
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0176
Total of all active and inactive participants2009-01-01231
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-01231
Number of participants with account balances2009-01-01131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0141
2008: SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST 2008 401k membership
Total participants, beginning-of-year2008-01-01321
Total number of active participants reported on line 7a of the Form 55002008-01-01376
Number of retired or separated participants receiving benefits2008-01-010
Number of other retired or separated participants entitled to future benefits2008-01-0163
Total of all active and inactive participants2008-01-01439
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2008-01-010
Total participants2008-01-01439
Number of participants with account balances2008-01-01142
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2008-01-0135
2007: SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST 2007 401k membership
Total participants, beginning-of-year2007-01-01166
Total number of active participants reported on line 7a of the Form 55002007-01-01251
Number of retired or separated participants receiving benefits2007-01-010
Number of other retired or separated participants entitled to future benefits2007-01-0159
Total of all active and inactive participants2007-01-01310
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2007-01-010
Total participants2007-01-01310
Number of participants with account balances2007-01-01149
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2007-01-0138
2006: SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST 2006 401k membership
Total participants, beginning-of-year2006-01-010
Total number of active participants reported on line 7a of the Form 55002006-01-01133
Number of retired or separated participants receiving benefits2006-01-010
Number of other retired or separated participants entitled to future benefits2006-01-0128
Total of all active and inactive participants2006-01-01161
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2006-01-010
Total participants2006-01-01161
Number of participants with account balances2006-01-01155
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2006-01-0129

Financial Data on SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST

Measure Date Value
2011 : SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$36,389
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$30,770
Total income from all sources (including contributions)2011-12-31$44,732
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$226,864
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$213,996
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$69,163
Value of total assets at end of year2011-12-31$453,100
Value of total assets at beginning of year2011-12-31$629,613
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$12,868
Total interest from all sources2011-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$38,500
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$41,381
Participant contributions at end of year2011-12-31$4,510
Participant contributions at beginning of year2011-12-31$4,178
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$27,782
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2011-12-31$36,389
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-12-31$30,770
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-182,132
Value of net assets at end of year (total assets less liabilities)2011-12-31$416,711
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$598,843
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$448,590
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$622,847
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2011-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2011-12-31$2,588
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-24,431
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31Yes
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$213,996
Contract administrator fees2011-12-31$12,868
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31DANA F. COLE & COMPANY
Accountancy firm EIN2011-12-31470526649
2010 : SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$30,770
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$41,239
Total income from all sources (including contributions)2010-12-31$190,579
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$98,665
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$97,585
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$121,008
Value of total assets at end of year2010-12-31$629,613
Value of total assets at beginning of year2010-12-31$548,168
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$1,080
Total interest from all sources2010-12-31$0
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 year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$100,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$121,008
Participant contributions at end of year2010-12-31$4,178
Participant contributions at beginning of year2010-12-31$9,318
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2010-12-31$12,056
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2010-12-31$30,770
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2010-12-31$41,239
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$91,914
Value of net assets at end of year (total assets less liabilities)2010-12-31$598,843
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$506,929
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$622,847
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$538,250
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$2,588
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$69,571
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Employer contributions (assets) at beginning of year2010-12-31$600
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$85,529
Contract administrator fees2010-12-31$1,080
Did the plan have assets held for investment2010-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31DANA F. COLE & COMPANY
Accountancy firm EIN2010-12-31470526649
2009 : SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST

2011: SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – InsuranceYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement – InsuranceYes
2011-01-01Plan benefit arrangement - TrustYes
2009: SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes
2008: SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST 2008 form 5500 responses
2008-01-01Type of plan entitySingle employer plan
2008-01-01Submission has been amendedYes
2008-01-01This submission is the final filingNo
2008-01-01This return/report is a short plan year return/report (less than 12 months)No
2008-01-01Plan is a collectively bargained planNo
2008-01-01Plan funding arrangement – TrustYes
2008-01-01Plan benefit arrangement - TrustYes
2007: SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST 2007 form 5500 responses
2007-01-01Type of plan entitySingle employer plan
2007-01-01Submission has been amendedYes
2007-01-01This submission is the final filingNo
2007-01-01This return/report is a short plan year return/report (less than 12 months)No
2007-01-01Plan is a collectively bargained planNo
2007-01-01Plan funding arrangement – TrustYes
2007-01-01Plan benefit arrangement - TrustYes
2006: SUZLON ROTOR EMPLOYEE 401(K) PLAN AND TRUST 2006 form 5500 responses
2006-01-01Type of plan entitySingle employer plan
2006-01-01First time form 5500 has been submittedYes
2006-01-01Submission has been amendedYes
2006-01-01This submission is the final filingNo
2006-01-01This return/report is a short plan year return/report (less than 12 months)No
2006-01-01Plan is a collectively bargained planNo
2006-01-01Plan funding arrangement – TrustYes
2006-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract numberGAP-B2-CZ1A
Policy instance 1
Insurance contract or identification numberGAP-B2-CZ1A
Number of Individuals Covered32
Insurance policy start date2011-01-01
Insurance policy end date2011-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract numberGAP-B2-CZ1A
Policy instance 1
Insurance contract or identification numberGAP-B2-CZ1A
Number of Individuals Covered148
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No

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