401k Plan data: CS MINING, LLC 401(K) PLAN plan

CS MINING, LLC 401(K) PLAN 401k Plan overview

Plan Name	CS MINING, LLC 401(K) PLAN
Plan identification number	001

CS MINING, LLC 401(K) 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.
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

CS MINING, LLC has sponsored the creation of one or more 401k plans.

Company Name: CS MINING, LLC

Employer identification number (EIN): 453088341

NAIC Classification: 212200
NAIC Description: Metal Ore Mining

Additional information about CS MINING, LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date: 2011-06-20

Company Identification Number: 4999417

Legal Registered Office Address: 1521 Concord Pike #303

Wilmington
United States of America (USA)
19803

More information about CS MINING, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CS MINING, LLC 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01 STACEY RIGGS
001 2015-01-01 STACEY RIGGS
001 2014-01-01 STACEY RIGGS
001 2013-01-01 STACEY RIGGS 2014-06-06
001 2012-01-01 STACEY RIGGS 2013-02-26

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2016-01-01	STACEY RIGGS
001	2015-01-01	STACEY RIGGS
001	2014-01-01	STACEY RIGGS
001	2013-01-01	STACEY RIGGS	2014-06-06
001	2012-01-01	STACEY RIGGS	2013-02-26

Plan Statistics for CS MINING, LLC 401(K) PLAN

401k plan membership statisitcs for CS MINING, LLC 401(K) PLAN

Measure Date Value
2016: CS MINING, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 199
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 37
Number of retired or separated participants receiving benefits 2016-01-01 2
Number of other retired or separated participants entitled to future benefits 2016-01-01 52
Total of all active and inactive participants 2016-01-01 91
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 91
Number of participants with account balances 2016-01-01 75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: CS MINING, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 172
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 180
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 14
Total of all active and inactive participants 2015-01-01 194
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 194
Number of participants with account balances 2015-01-01 97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: CS MINING, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 150
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 147
Number of other retired or separated participants entitled to future benefits 2014-01-01 8
Total of all active and inactive participants 2014-01-01 155
Total participants 2014-01-01 155
Number of participants with account balances 2014-01-01 49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0

Measure	Date	Value
2016: CS MINING, LLC 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	199
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	37
Number of retired or separated participants receiving benefits	2016-01-01	2
Number of other retired or separated participants entitled to future benefits	2016-01-01	52
Total of all active and inactive participants	2016-01-01	91
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	91
Number of participants with account balances	2016-01-01	75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: CS MINING, LLC 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	172
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	180
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	14
Total of all active and inactive participants	2015-01-01	194
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	194
Number of participants with account balances	2015-01-01	97
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: CS MINING, LLC 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	150
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	147
Number of other retired or separated participants entitled to future benefits	2014-01-01	8
Total of all active and inactive participants	2014-01-01	155
Total participants	2014-01-01	155
Number of participants with account balances	2014-01-01	49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0

Financial Data on CS MINING, LLC 401(K) PLAN

Measure	Date	Value
2016 : CS MINING, LLC 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$15,723
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$15,723
Total income from all sources (including contributions)	2016-12-31	$336,195
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$332,730
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$330,740
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$276,438
Value of total assets at end of year	2016-12-31	$804,226
Value of total assets at beginning of year	2016-12-31	$800,761
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$1,990
Total interest from all sources	2016-12-31	$2,945
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Administrative expenses professional fees incurred	2016-12-31	$1,990
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$90,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$108,442
Participant contributions at end of year	2016-12-31	$36,630
Participant contributions at beginning of year	2016-12-31	$78,193
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$118,350
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-12-31	$15,723
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$15,723
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$3,465
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$788,503
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$785,038
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in pooled separate accounts at end of year	2016-12-31	$631,202
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$677,916
Interest on participant loans	2016-12-31	$2,945
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$136,394
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$44,652
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$56,812
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$49,646
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$330,740
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	2016-12-31	No
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	KEE CPA AUDIT GROUP
Accountancy firm EIN	2016-12-31	814637885
2015 : CS MINING, LLC 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$15,723
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$23,031
Total income from all sources (including contributions)	2015-12-31	$381,986
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$29,249
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$23,596
Value of total corrective distributions	2015-12-31	$5,173
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$402,284
Value of total assets at end of year	2015-12-31	$800,761
Value of total assets at beginning of year	2015-12-31	$455,332
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$480
Total interest from all sources	2015-12-31	$1,834
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Administrative expenses professional fees incurred	2015-12-31	$480
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$60,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$169,573
Participant contributions at end of year	2015-12-31	$78,193
Participant contributions at beginning of year	2015-12-31	$34,937
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$138,878
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$15,723
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$23,031
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$352,737
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$785,038
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$432,301
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in pooled separate accounts at end of year	2015-12-31	$677,916
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$407,154
Interest on participant loans	2015-12-31	$1,834
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$44,652
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$13,241
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-22,132
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$93,833
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$23,596
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	2015-12-31	No
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	JONES SIMKINS LLC
Accountancy firm EIN	2015-12-31	461592906
2014 : CS MINING, LLC 401(K) PLAN 2014 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$23,031
Total income from all sources (including contributions)	2014-12-31	$231,942
Total of all expenses incurred	2014-12-31	$335,916
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$335,382
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$203,509
Value of total assets at end of year	2014-12-31	$455,332
Value of total assets at beginning of year	2014-12-31	$536,275
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$534
Total interest from all sources	2014-12-31	$1,040
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$60,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$97,046
Participant contributions at end of year	2014-12-31	$34,937
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$47,283
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$23,031
Administrative expenses (other) incurred	2014-12-31	$534
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$-103,974
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$432,301
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$536,275
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in pooled separate accounts at end of year	2014-12-31	$407,154
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$530,155
Interest on participant loans	2014-12-31	$1,040
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$13,241
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$6,120
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$27,393
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$59,180
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$335,382
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	JONES SIMKINS LLC
Accountancy firm EIN	2014-12-31	461592906

Form 5500 Responses for CS MINING, LLC 401(K) PLAN

2016: CS MINING, LLC 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: CS MINING, LLC 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: CS MINING, LLC 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
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

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

830100

Policy instance

Insurance contract or identification number	830100
Number of Individuals Covered	97
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $1,927
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?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
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
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $1,927
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	NONE
Insurance broker organization code?	3
Insurance broker name	WELLS FARGO ADVISORS INS AGENCY

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

830100

Policy instance

Insurance contract or identification number	830100
Number of Individuals Covered	47
Total amount of commissions paid to insurance broker	USD $1,917
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $1,414
Additional information about fees paid to insurance broker	COMMISSIONS
Insurance broker organization code?	3
Insurance broker name	WELLS FARGO ADVISOR INS. AGENCY

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Company Name:	CS MINING, LLC
Employer identification number (EIN):	453088341
NAIC Classification:	212200
NAIC Description:	Metal Ore Mining

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:	2011-06-20
Company Identification Number:	4999417
Legal Registered Office Address:	1521 Concord Pike #303 Wilmington United States of America (USA) 19803