401k Plan data: MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN plan

MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN 401k Plan overview

Plan Name	MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN
Plan identification number	009

MONTANA REFINING COMPANY, INC. 401(K) THRIFT 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

CALUMET GP, LLC has sponsored the creation of one or more 401k plans.

Company Name: CALUMET GP, LLC

Employer identification number (EIN): 364579817

NAIC Classification: 213110
NAIC Description: Support Activities for Mining

Additional information about CALUMET GP, LLC

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 2012-01-09

Company Identification Number: 0801532157

Legal Registered Office Address: 2780 WATERFRONT PARKWAY EAST DR STE 200

INDIANAPOLIS
United States of America (USA)
46214

More information about CALUMET GP, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
009 2014-01-01 CAROL HUTTON 2015-10-15 MIKE NAJAR 2015-10-15
009 2013-01-01 CAROL L HUTTON DAVID K BURFORD 2014-10-09
009 2012-01-01 CAROL HUTTON

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
009	2014-01-01	CAROL HUTTON	2015-10-15	MIKE NAJAR	2015-10-15
009	2013-01-01	CAROL L HUTTON		DAVID K BURFORD	2014-10-09
009	2012-01-01	CAROL HUTTON

Plan Statistics for MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN

401k plan membership statisitcs for MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN

Measure Date Value
2013: MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 107
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 75
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 12
Total of all active and inactive participants 2013-01-01 87
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 87
Number of participants with account balances 2013-01-01 87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 4
2012: MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 127
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 105
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 6
Total of all active and inactive participants 2012-01-01 111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 111
Number of participants with account balances 2012-01-01 76
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0

Measure	Date	Value
2013: MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	107
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	75
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	12
Total of all active and inactive participants	2013-01-01	87
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	87
Number of participants with account balances	2013-01-01	87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	4
2012: MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	127
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	105
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	6
Total of all active and inactive participants	2012-01-01	111
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	111
Number of participants with account balances	2012-01-01	76
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0

Financial Data on MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN

Measure	Date	Value
2013 : MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$801,796
Expenses. Total of all expenses incurred	2013-12-31	$411,572
Benefits paid (including direct rollovers)	2013-12-31	$399,175
Total plan assets at end of year	2013-12-31	$3,809,386
Total plan assets at beginning of year	2013-12-31	$3,419,162
Value of fidelity bond covering the plan	2013-12-31	$500,000
Other income received	2013-12-31	$704,187
Net income (gross income less expenses)	2013-12-31	$390,224
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$3,809,386
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$3,419,162
Assets. Value of participant loans	2013-12-31	$102,635
Total contributions received or receivable from employer(s)	2013-12-31	$97,609
Value of certain deemed distributions of participant loans	2013-12-31	$3,848
Value of corrective distributions	2013-12-31	$8,349
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$200
2012 : MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN 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	$2,541
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$1,594,037
Total loss/gain on sale of assets	2012-12-31	$7,999
Total of all expenses incurred	2012-12-31	$834,995
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$830,441
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$860,914
Value of total assets at end of year	2012-12-31	$6,266,176
Value of total assets at beginning of year	2012-12-31	$5,504,593
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$4,554
Total interest from all sources	2012-12-31	$14,951
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$143,881
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	$142,501
Administrative expenses professional fees incurred	2012-12-31	$475
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	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$535,847
Participant contributions at end of year	2012-12-31	$252,609
Participant contributions at beginning of year	2012-12-31	$314,829
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$10,823
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2012-12-31	$2,541
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-12-31	$0
Total non interest bearing cash at end of year	2012-12-31	$2,541
Total non interest bearing cash at beginning of year	2012-12-31	$75
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	$759,042
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$6,263,635
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$5,504,593
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	$6,011,026
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$5,036,174
Interest on participant loans	2012-12-31	$14,951
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$140,598
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$140,598
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$566,292
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$325,067
Employer contributions (assets) at end of year	2012-12-31	$51,037
Employer contributions (assets) at beginning of year	2012-12-31	$31,390
Income. Dividends from common stock	2012-12-31	$1,380
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$830,441
Contract administrator fees	2012-12-31	$4,079
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	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-12-31	$12,917
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
Aggregate proceeds on sale of assets	2012-12-31	$20,916
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$12,917
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	KATZ, SAPPER & MILLER, LLP
Accountancy firm EIN	2012-12-31	351090346

Form 5500 Responses for MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN

2013: MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – 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: MONTANA REFINING COMPANY, INC. 401(K) THRIFT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	Yes
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	CALUMET GP, LLC
Employer identification number (EIN):	364579817
NAIC Classification:	213110
NAIC Description:	Support Activities for Mining

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	2012-01-09
Company Identification Number:	0801532157
Legal Registered Office Address:	2780 WATERFRONT PARKWAY EAST DR STE 200 INDIANAPOLIS United States of America (USA) 46214