401k Plan data: R. D. OFFUTT 401(K) SAVINGS PLAN plan

R. D. OFFUTT 401(K) SAVINGS PLAN 401k Plan overview

Plan Name	R. D. OFFUTT 401(K) SAVINGS PLAN
Plan identification number	001

R. D. OFFUTT 401(K) SAVINGS 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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

R. D. OFFUTT COMPANY has sponsored the creation of one or more 401k plans.

Company Name: R. D. OFFUTT COMPANY

Employer identification number (EIN): 411470479

NAIC Classification: 423800

Form 5500 Filing Information

Submission information for form 5500 for 401k plan R. D. OFFUTT 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 TOM ESPEL
001 2011-01-01 TOM ESPEL
001 2010-01-01 TOM ESPEL
001 2009-01-01 TOM ESPEL

Plan id#	Filing Submission Date	Name of Administrator
001	2012-01-01	TOM ESPEL
001	2011-01-01	TOM ESPEL
001	2010-01-01	TOM ESPEL
001	2009-01-01	TOM ESPEL

Plan Statistics for R. D. OFFUTT 401(K) SAVINGS PLAN

401k plan membership statisitcs for R. D. OFFUTT 401(K) SAVINGS PLAN

Measure Date Value
2012: R. D. OFFUTT 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 459
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
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 1
2011: R. D. OFFUTT 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 454
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 381
Number of retired or separated participants receiving benefits 2011-01-01 12
Number of other retired or separated participants entitled to future benefits 2011-01-01 49
Total of all active and inactive participants 2011-01-01 442
Total participants 2011-01-01 442
Number of participants with account balances 2011-01-01 390
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 27
2010: R. D. OFFUTT 401(K) SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 765
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 686
Number of retired or separated participants receiving benefits 2010-01-01 5
Number of other retired or separated participants entitled to future benefits 2010-01-01 59
Total of all active and inactive participants 2010-01-01 750
Total participants 2010-01-01 750
Number of participants with account balances 2010-01-01 384
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 21
2009: R. D. OFFUTT 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 500
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 364
Number of retired or separated participants receiving benefits 2009-01-01 3
Number of other retired or separated participants entitled to future benefits 2009-01-01 95
Total of all active and inactive participants 2009-01-01 462
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 462
Number of participants with account balances 2009-01-01 375
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 19

Measure	Date	Value
2012: R. D. OFFUTT 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	459
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
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	1
2011: R. D. OFFUTT 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	454
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	381
Number of retired or separated participants receiving benefits	2011-01-01	12
Number of other retired or separated participants entitled to future benefits	2011-01-01	49
Total of all active and inactive participants	2011-01-01	442
Total participants	2011-01-01	442
Number of participants with account balances	2011-01-01	390
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	27
2010: R. D. OFFUTT 401(K) SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	765
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	686
Number of retired or separated participants receiving benefits	2010-01-01	5
Number of other retired or separated participants entitled to future benefits	2010-01-01	59
Total of all active and inactive participants	2010-01-01	750
Total participants	2010-01-01	750
Number of participants with account balances	2010-01-01	384
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	21
2009: R. D. OFFUTT 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	500
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	364
Number of retired or separated participants receiving benefits	2009-01-01	3
Number of other retired or separated participants entitled to future benefits	2009-01-01	95
Total of all active and inactive participants	2009-01-01	462
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	462
Number of participants with account balances	2009-01-01	375
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	19

Financial Data on R. D. OFFUTT 401(K) SAVINGS PLAN

Measure	Date	Value
2012 : R. D. OFFUTT 401(K) SAVINGS PLAN 2012 401k financial data
Total transfer of assets from this plan	2012-04-03	$15,686,526
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-04-03	$13,432
Total income from all sources (including contributions)	2012-04-03	$1,465,645
Total of all expenses incurred	2012-04-03	$333,181
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-04-03	$313,338
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-04-03	$354,762
Value of total assets at end of year	2012-04-03	$0
Value of total assets at beginning of year	2012-04-03	$14,567,494
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-04-03	$19,843
Total interest from all sources	2012-04-03	$1,541
Total dividends received (eg from common stock, registered investment company shares)	2012-04-03	$3,384
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-04-03	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2012-04-03	$0
Total dividends received from registered investment company shares (eg mutual funds)	2012-04-03	$3,384
Was this plan covered by a fidelity bond	2012-04-03	Yes
Value of fidelity bond cover	2012-04-03	$2,000,000
If this is an individual account plan, was there a blackout period	2012-04-03	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-04-03	$0
Were there any nonexempt tranactions with any party-in-interest	2012-04-03	No
Contributions received from participants	2012-04-03	$247,055
Participant contributions at end of year	2012-04-03	$0
Participant contributions at beginning of year	2012-04-03	$143,894
Participant contributions at beginning of year	2012-04-03	$5,859
Income. Received or receivable in cash from other sources (including rollovers)	2012-04-03	$17,492
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-04-03	$13,432
Administrative expenses (other) incurred	2012-04-03	$19,843
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-04-03	No
Value of net income/loss	2012-04-03	$1,132,464
Value of net assets at end of year (total assets less liabilities)	2012-04-03	$0
Value of net assets at beginning of year (total assets less liabilities)	2012-04-03	$14,554,062
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-04-03	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-04-03	No
Were any leases to which the plan was party in default or uncollectible	2012-04-03	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-04-03	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-04-03	$6,066,049
Interest on participant loans	2012-04-03	$1,541
Value of interest in common/collective trusts at end of year	2012-04-03	$0
Value of interest in common/collective trusts at beginning of year	2012-04-03	$8,317,778
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-04-03	$608,623
Net investment gain or loss from common/collective trusts	2012-04-03	$497,335
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-04-03	No
Was there a failure to transmit to the plan any participant contributions	2012-04-03	No
Has the plan failed to provide any benefit when due under the plan	2012-04-03	No
Contributions received in cash from employer	2012-04-03	$90,215
Employer contributions (assets) at beginning of year	2012-04-03	$33,914
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-04-03	$313,338
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	2012-04-03	Yes
Did the plan have assets held for investment	2012-04-03	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	2012-04-03	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-04-03	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-04-03	Yes
Opinion of an independent qualified public accountant for this plan	2012-04-03	Disclaimer
Accountancy firm name	2012-04-03	EIDE BAILLY LLP
Accountancy firm EIN	2012-04-03	450250958
2011 : R. D. OFFUTT 401(K) SAVINGS PLAN 2011 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$13,432
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$23,931
Total income from all sources (including contributions)	2011-12-31	$1,361,874
Total of all expenses incurred	2011-12-31	$1,180,590
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,124,637
Value of total corrective distributions	2011-12-31	$13,432
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,589,286
Value of total assets at end of year	2011-12-31	$14,567,494
Value of total assets at beginning of year	2011-12-31	$14,396,709
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$42,521
Total interest from all sources	2011-12-31	$6,628
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$84,119
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2011-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$84,119
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$2,000,000
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	$1,123,775
Participant contributions at end of year	2011-12-31	$143,894
Participant contributions at beginning of year	2011-12-31	$119,898
Participant contributions at end of year	2011-12-31	$5,859
Participant contributions at beginning of year	2011-12-31	$5,297
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$12,496
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$13,432
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$23,931
Administrative expenses (other) incurred	2011-12-31	$42,521
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	$181,284
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$14,554,062
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$14,372,778
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	$6,066,049
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$5,870,446
Interest on participant loans	2011-12-31	$6,628
Value of interest in common/collective trusts at end of year	2011-12-31	$8,317,778
Value of interest in common/collective trusts at beginning of year	2011-12-31	$8,398,737
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-163,875
Net investment gain or loss from common/collective trusts	2011-12-31	$-154,284
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	Yes
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	$453,015
Employer contributions (assets) at end of year	2011-12-31	$33,914
Employer contributions (assets) at beginning of year	2011-12-31	$2,331
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,124,637
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	EIDE BAILLY LLP
Accountancy firm EIN	2011-12-31	450250958
2010 : R. D. OFFUTT 401(K) SAVINGS PLAN 2010 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$23,931
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$5,891
Total income from all sources (including contributions)	2010-12-31	$3,335,135
Total of all expenses incurred	2010-12-31	$292,951
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$236,821
Value of total corrective distributions	2010-12-31	$23,931
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,950,267
Value of total assets at end of year	2010-12-31	$14,396,709
Value of total assets at beginning of year	2010-12-31	$11,336,485
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$32,199
Total interest from all sources	2010-12-31	$8,877
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$88,818
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	$85,986
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,500,000
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	$1,129,102
Participant contributions at end of year	2010-12-31	$119,898
Participant contributions at beginning of year	2010-12-31	$145,665
Participant contributions at end of year	2010-12-31	$5,297
Participant contributions at beginning of year	2010-12-31	$3,331
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$418,490
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$23,931
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$5,891
Administrative expenses (other) incurred	2010-12-31	$32,199
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	$3,042,184
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$14,372,778
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$11,330,594
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	$5,870,446
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$4,575,658
Interest on participant loans	2010-12-31	$8,877
Value of interest in common/collective trusts at end of year	2010-12-31	$8,398,737
Value of interest in common/collective trusts at beginning of year	2010-12-31	$6,610,321
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$542,525
Net investment gain or loss from common/collective trusts	2010-12-31	$744,648
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	$402,675
Employer contributions (assets) at end of year	2010-12-31	$2,331
Employer contributions (assets) at beginning of year	2010-12-31	$1,510
Income. Dividends from common stock	2010-12-31	$2,832
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$236,821
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	EIDE BAILLY LLP
Accountancy firm EIN	2010-12-31	450250958
2009 : R. D. OFFUTT 401(K) SAVINGS 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 R. D. OFFUTT 401(K) SAVINGS PLAN

2012: R. D. OFFUTT 401(K) SAVINGS PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Mulitple employer plan
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: R. D. OFFUTT 401(K) SAVINGS PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Mulitple employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: R. D. OFFUTT 401(K) SAVINGS PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Mulitple employer plan
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: R. D. OFFUTT 401(K) SAVINGS PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Mulitple employer plan
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	R. D. OFFUTT COMPANY
Employer identification number (EIN):	411470479
NAIC Classification:	423800