401k Plan data: UNWIN COMPANY 401(K) PLAN AND TRUST plan

UNWIN COMPANY 401(K) PLAN AND TRUST 401k Plan overview

Plan Name	UNWIN COMPANY 401(K) PLAN AND TRUST
Plan identification number	001

UNWIN COMPANY 401(K) PLAN AND TRUST Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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.

401k Sponsoring company profile

UNWIN COMPANY has sponsored the creation of one or more 401k plans.

Company Name: UNWIN COMPANY

Employer identification number (EIN): 311469050

NAIC Classification: 541600

Additional information about UNWIN COMPANY

Jurisdiction of Incorporation: Ohio Secretary of State Business Services Division

Incorporation Date: 1996-07-16

Company Identification Number: 947802

Legal Registered Office Address: 9050 STATE ROUTE 736
-
PLAIN CITY
United States of America (USA)
43064

More information about UNWIN COMPANY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UNWIN COMPANY 401(K) PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 ROBERT W. JOHNSON
001 2014-01-01 ROBERT W. JOHNSON
001 2013-01-01 ROBERT M. MOOREHEAD
001 2012-01-01 ROBERT M. MOOREHEAD
001 2011-01-01 ROBERT M. MOOREHEAD
001 2009-01-01 ROBERT M. MOOREHEAD ROBERT M. MOOREHEAD 2010-10-12
001 2009-01-01 ROBERT M. MOOREHEAD ROBERT M. MOOREHEAD 2010-10-07

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01	ROBERT W. JOHNSON
001	2014-01-01	ROBERT W. JOHNSON
001	2013-01-01	ROBERT M. MOOREHEAD
001	2012-01-01	ROBERT M. MOOREHEAD
001	2011-01-01	ROBERT M. MOOREHEAD
001	2009-01-01	ROBERT M. MOOREHEAD	ROBERT M. MOOREHEAD	2010-10-12
001	2009-01-01	ROBERT M. MOOREHEAD	ROBERT M. MOOREHEAD	2010-10-07

Plan Statistics for UNWIN COMPANY 401(K) PLAN AND TRUST

401k plan membership statisitcs for UNWIN COMPANY 401(K) PLAN AND TRUST

Measure Date Value
2014: UNWIN COMPANY 401(K) PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year 2014-01-01 139
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 0
Number of participants with account balances 2014-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: UNWIN COMPANY 401(K) PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 164
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 53
Number of retired or separated participants receiving benefits 2013-01-01 13
Number of other retired or separated participants entitled to future benefits 2013-01-01 73
Total of all active and inactive participants 2013-01-01 139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 139
Number of participants with account balances 2013-01-01 125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: UNWIN COMPANY 401(K) PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 150
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 161
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 6
Total of all active and inactive participants 2012-01-01 169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 169
Number of participants with account balances 2012-01-01 119
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: UNWIN COMPANY 401(K) PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 146
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 146
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 8
Total of all active and inactive participants 2011-01-01 154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 154
Number of participants with account balances 2011-01-01 99
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: UNWIN COMPANY 401(K) PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year 2009-01-01 135
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 133
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 3
Total of all active and inactive participants 2009-01-01 136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 136
Number of participants with account balances 2009-01-01 89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2014: UNWIN COMPANY 401(K) PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year	2014-01-01	139
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	0
Number of participants with account balances	2014-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: UNWIN COMPANY 401(K) PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	164
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	53
Number of retired or separated participants receiving benefits	2013-01-01	13
Number of other retired or separated participants entitled to future benefits	2013-01-01	73
Total of all active and inactive participants	2013-01-01	139
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	139
Number of participants with account balances	2013-01-01	125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: UNWIN COMPANY 401(K) PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	150
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	161
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	6
Total of all active and inactive participants	2012-01-01	169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	169
Number of participants with account balances	2012-01-01	119
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: UNWIN COMPANY 401(K) PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	146
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	146
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	8
Total of all active and inactive participants	2011-01-01	154
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	154
Number of participants with account balances	2011-01-01	99
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: UNWIN COMPANY 401(K) PLAN AND TRUST 2009 401k membership
Total participants, beginning-of-year	2009-01-01	135
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	133
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	3
Total of all active and inactive participants	2009-01-01	136
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	136
Number of participants with account balances	2009-01-01	89
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on UNWIN COMPANY 401(K) PLAN AND TRUST

Measure	Date	Value
2014 : UNWIN COMPANY 401(K) PLAN AND TRUST 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-10-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-10-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-10-31	$0
Total income from all sources (including contributions)	2014-10-31	$241,895
Total loss/gain on sale of assets	2014-10-31	$0
Total of all expenses incurred	2014-10-31	$15,521,059
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-10-31	$15,483,258
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-10-31	$35,055
Value of total assets at end of year	2014-10-31	$0
Value of total assets at beginning of year	2014-10-31	$15,279,163
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-10-31	$37,801
Total interest from all sources	2014-10-31	$16,283
Total dividends received (eg from common stock, registered investment company shares)	2014-10-31	$36,499
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-10-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2014-10-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2014-10-31	$36,499
Was this plan covered by a fidelity bond	2014-10-31	Yes
Value of fidelity bond cover	2014-10-31	$500,000
If this is an individual account plan, was there a blackout period	2014-10-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-10-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-10-31	No
Contributions received from participants	2014-10-31	$35,055
Participant contributions at end of year	2014-10-31	$0
Participant contributions at beginning of year	2014-10-31	$4,570
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-10-31	No
Value of net income/loss	2014-10-31	$-15,279,164
Value of net assets at end of year (total assets less liabilities)	2014-10-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2014-10-31	$15,279,163
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-10-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-10-31	No
Were any leases to which the plan was party in default or uncollectible	2014-10-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-10-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-10-31	$12,214,590
Interest earned on other investments	2014-10-31	$16,283
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-10-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-10-31	$2,573,315
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-10-31	$154,058
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-10-31	No
Was there a failure to transmit to the plan any participant contributions	2014-10-31	No
Has the plan failed to provide any benefit when due under the plan	2014-10-31	No
Employer contributions (assets) at end of year	2014-10-31	$0
Employer contributions (assets) at beginning of year	2014-10-31	$486,688
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-10-31	$15,483,258
Contract administrator fees	2014-10-31	$37,801
Liabilities. Value of benefit claims payable at beginning of year	2014-10-31	$0
Did the plan have assets held for investment	2014-10-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-10-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-10-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-10-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-10-31	Disclaimer
Accountancy firm name	2014-10-31	BDO USA, LLP
Accountancy firm EIN	2014-10-31	135381590
2013 : UNWIN COMPANY 401(K) PLAN AND TRUST 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	$56,498
Total income from all sources (including contributions)	2013-12-31	$3,443,591
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$273,284
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$216,508
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,601,662
Value of total assets at end of year	2013-12-31	$15,279,163
Value of total assets at beginning of year	2013-12-31	$12,165,354
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$56,776
Total interest from all sources	2013-12-31	$44,538
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$99,343
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	$99,343
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,114,974
Participant contributions at end of year	2013-12-31	$4,570
Participant contributions at beginning of year	2013-12-31	$77,596
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$3,170,307
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$15,279,163
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$12,108,856
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	$12,214,590
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$9,497,486
Interest on participant loans	2013-12-31	$44,538
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$2,573,315
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$1,728,339
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$1,698,048
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	$486,688
Employer contributions (assets) at end of year	2013-12-31	$486,688
Employer contributions (assets) at beginning of year	2013-12-31	$861,933
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$216,508
Contract administrator fees	2013-12-31	$56,776
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2013-12-31	No
Liabilities. Value of benefit claims payable at end of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$56,498
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	SS & G, INC.
Accountancy firm EIN	2013-12-31	341945695
2012 : UNWIN COMPANY 401(K) PLAN AND TRUST 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$56,498
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$91,275
Total income from all sources (including contributions)	2012-12-31	$3,314,708
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$545,998
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$446,005
Value of total corrective distributions	2012-12-31	$56,498
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,259,754
Value of total assets at end of year	2012-12-31	$12,165,354
Value of total assets at beginning of year	2012-12-31	$9,431,421
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$43,495
Total interest from all sources	2012-12-31	$32,022
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$116,318
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	$116,318
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,240,283
Participant contributions at end of year	2012-12-31	$77,596
Participant contributions at beginning of year	2012-12-31	$13,354
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$157,538
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	$2,768,710
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$12,108,856
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$9,340,146
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	$9,497,486
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$7,190,012
Interest earned on other investments	2012-12-31	$32,022
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$1,728,339
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$1,450,109
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$906,614
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	$861,933
Employer contributions (assets) at end of year	2012-12-31	$861,933
Employer contributions (assets) at beginning of year	2012-12-31	$777,946
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$446,005
Contract administrator fees	2012-12-31	$43,495
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	No
Liabilities. Value of benefit claims payable at end of year	2012-12-31	$56,498
Liabilities. Value of benefit claims payable at beginning of year	2012-12-31	$91,275
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	SS&G
Accountancy firm EIN	2012-12-31	341945695
2011 : UNWIN COMPANY 401(K) PLAN AND TRUST 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$91,275
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	$1,557,529
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$168,757
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$42,073
Value of total corrective distributions	2011-12-31	$91,275
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,877,971
Value of total assets at end of year	2011-12-31	$9,431,421
Value of total assets at beginning of year	2011-12-31	$7,951,374
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$35,409
Total interest from all sources	2011-12-31	$28,083
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$74,174
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	$74,174
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,095,317
Participant contributions at end of year	2011-12-31	$13,354
Participant contributions at beginning of year	2011-12-31	$17,787
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$4,708
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	$1,388,772
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$9,340,146
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$7,951,374
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	$7,190,012
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$6,427,420
Interest earned on other investments	2011-12-31	$28,083
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$1,450,109
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$1,052,265
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-422,699
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	$777,946
Employer contributions (assets) at end of year	2011-12-31	$777,946
Employer contributions (assets) at beginning of year	2011-12-31	$453,902
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$42,073
Contract administrator fees	2011-12-31	$35,409
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
Liabilities. Value of benefit claims payable at end of year	2011-12-31	$91,275
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	SS&G, INC.
Accountancy firm EIN	2011-12-31	341945695
2010 : UNWIN COMPANY 401(K) PLAN AND TRUST 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$2,277,244
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$476,479
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$446,865
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,526,359
Value of total assets at end of year	2010-12-31	$7,951,374
Value of total assets at beginning of year	2010-12-31	$6,150,609
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$29,614
Total interest from all sources	2010-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$92,327
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	$92,327
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
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	$1,036,273
Participant contributions at end of year	2010-12-31	$17,787
Participant contributions at beginning of year	2010-12-31	$16,134
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$36,184
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	$1,800,765
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$7,951,374
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$6,150,609
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	$6,427,420
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$5,674,619
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$1,052,265
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$459,856
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$658,558
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	$453,902
Employer contributions (assets) at end of year	2010-12-31	$453,902
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$446,865
Contract administrator fees	2010-12-31	$29,614
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	SS & G FINANCIAL SERVICES, INC.
Accountancy firm EIN	2010-12-31	341945695

Form 5500 Responses for UNWIN COMPANY 401(K) PLAN AND TRUST

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

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

030-81816

Policy instance

Insurance contract or identification number	030-81816
Number of Individuals Covered	0
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $4,801
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $4,801
Insurance broker organization code?	7
Insurance broker name	LINCOLN FINANCIAL ADVISORS

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

030-81816

Policy instance

Insurance contract or identification number	030-81816
Number of Individuals Covered	125
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $10,220
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $10,220
Insurance broker organization code?	7
Insurance broker name	LINCOLN FINANCIAL ADVISORS

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

030-81816

Policy instance

Insurance contract or identification number	030-81816
Number of Individuals Covered	119
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $8,105
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $8,105
Insurance broker organization code?	7
Insurance broker name	LINCOLN FINANCIAL ADVISORS

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

030-81816

Policy instance

Insurance contract or identification number	030-81816
Number of Individuals Covered	99
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $6,590
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
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 number

030-81816

Policy instance

Insurance contract or identification number	030-81816
Number of Individuals Covered	98
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $3,174
Total amount of fees paid to insurance company	USD $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 plan	No
Contracts With Unallocated Funds Deposit Administration	0
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 Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $3,174
Insurance broker organization code?	7
Insurance broker name	LINCOLN FINANCIAL ADVISORS

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Company Name:	UNWIN COMPANY
Employer identification number (EIN):	311469050
NAIC Classification:	541600

Jurisdiction of Incorporation:	Ohio Secretary of State Business Services Division
Incorporation Date:	1996-07-16
Company Identification Number:	947802
Legal Registered Office Address:	9050 STATE ROUTE 736 - PLAIN CITY United States of America (USA) 43064