401k Plan data: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN plan

IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 401k Plan overview

Plan Name	IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN
Plan identification number	001

IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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.
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

IVORY INVESTMENT MANAGEMENT, LP has sponsored the creation of one or more 401k plans.

Company Name: IVORY INVESTMENT MANAGEMENT, LP

Employer identification number (EIN): 510446153

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01 MICHAEL CARUSO
001 2017-01-01 MICHAEL CARUSO
001 2016-01-01 MICHAEL CARUSO
001 2015-01-01 SAMANTHA CHESSMAN
001 2014-01-01 MICHAEL CARUSO
001 2013-01-01 KANDY RINGQUIST 2014-10-14
001 2012-01-01 KANDY RINGQUIST 2013-10-14
001 2011-01-01 STEVE BAUM 2012-09-19
001 2010-01-01 STEVE BAUM 2011-07-21
001 2009-01-01 STEVE BAUM STEVE BAUM 2010-05-07
001 2009-01-01 STEVE BAUM STEVE BAUM 2010-05-07

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2018-01-01	MICHAEL CARUSO
001	2017-01-01	MICHAEL CARUSO
001	2016-01-01	MICHAEL CARUSO
001	2015-01-01	SAMANTHA CHESSMAN
001	2014-01-01	MICHAEL CARUSO
001	2013-01-01	KANDY RINGQUIST	2014-10-14
001	2012-01-01	KANDY RINGQUIST	2013-10-14
001	2011-01-01	STEVE BAUM	2012-09-19
001	2010-01-01	STEVE BAUM	2011-07-21
001	2009-01-01	STEVE BAUM		STEVE BAUM	2010-05-07
001	2009-01-01	STEVE BAUM		STEVE BAUM	2010-05-07

Plan Statistics for IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN

401k plan membership statisitcs for IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN

Measure Date Value
2018: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 57
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 0
Number of participants with account balances 2018-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 63
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 38
Number of other retired or separated participants entitled to future benefits 2017-01-01 19
Total of all active and inactive participants 2017-01-01 57
Total participants 2017-01-01 57
Number of participants with account balances 2017-01-01 56
2016: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 64
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 41
Number of other retired or separated participants entitled to future benefits 2016-01-01 22
Total of all active and inactive participants 2016-01-01 63
Total participants 2016-01-01 63
Number of participants with account balances 2016-01-01 62
2015: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 57
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 47
Number of other retired or separated participants entitled to future benefits 2015-01-01 17
Total of all active and inactive participants 2015-01-01 64
Total participants 2015-01-01 64
Number of participants with account balances 2015-01-01 63
2014: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 73
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 38
Number of other retired or separated participants entitled to future benefits 2014-01-01 19
Total of all active and inactive participants 2014-01-01 57
Total participants 2014-01-01 57
Number of participants with account balances 2014-01-01 54
2009: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 62
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 41
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 16
Total of all active and inactive participants 2009-01-01 57
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 57
Number of participants with account balances 2009-01-01 55
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2018: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	57
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	0
Number of participants with account balances	2018-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	63
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	38
Number of other retired or separated participants entitled to future benefits	2017-01-01	19
Total of all active and inactive participants	2017-01-01	57
Total participants	2017-01-01	57
Number of participants with account balances	2017-01-01	56
2016: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	64
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	41
Number of other retired or separated participants entitled to future benefits	2016-01-01	22
Total of all active and inactive participants	2016-01-01	63
Total participants	2016-01-01	63
Number of participants with account balances	2016-01-01	62
2015: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	57
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	47
Number of other retired or separated participants entitled to future benefits	2015-01-01	17
Total of all active and inactive participants	2015-01-01	64
Total participants	2015-01-01	64
Number of participants with account balances	2015-01-01	63
2014: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	73
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	38
Number of other retired or separated participants entitled to future benefits	2014-01-01	19
Total of all active and inactive participants	2014-01-01	57
Total participants	2014-01-01	57
Number of participants with account balances	2014-01-01	54
2009: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	62
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	41
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	16
Total of all active and inactive participants	2009-01-01	57
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	57
Number of participants with account balances	2009-01-01	55
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN

Measure	Date	Value
2018 : IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2018 401k financial data
Transfers to/from the plan	2018-11-01	$0
Total plan liabilities at end of year	2018-11-01	$0
Total plan liabilities at beginning of year	2018-11-01	$0
Total income from all sources	2018-11-01	$468,491
Expenses. Total of all expenses incurred	2018-11-01	$10,291,670
Benefits paid (including direct rollovers)	2018-11-01	$10,274,031
Total plan assets at end of year	2018-11-01	$0
Total plan assets at beginning of year	2018-11-01	$9,823,179
Value of fidelity bond covering the plan	2018-11-01	$500,000
Total contributions received or receivable from participants	2018-11-01	$256,682
Expenses. Other expenses not covered elsewhere	2018-11-01	$0
Contributions received from other sources (not participants or employers)	2018-11-01	$0
Other income received	2018-11-01	$211,809
Noncash contributions received	2018-11-01	$0
Net income (gross income less expenses)	2018-11-01	$-9,823,179
Net plan assets at end of year (total assets less liabilities)	2018-11-01	$0
Net plan assets at beginning of year (total assets less liabilities)	2018-11-01	$9,823,179
Assets. Value of participant loans	2018-11-01	$0
Total contributions received or receivable from employer(s)	2018-11-01	$0
Value of certain deemed distributions of participant loans	2018-11-01	$0
Value of corrective distributions	2018-11-01	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2018-11-01	$17,639
2017 : IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$0
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$2,338,428
Expenses. Total of all expenses incurred	2017-12-31	$1,677,605
Benefits paid (including direct rollovers)	2017-12-31	$1,655,613
Total plan assets at end of year	2017-12-31	$9,823,179
Total plan assets at beginning of year	2017-12-31	$9,162,356
Value of fidelity bond covering the plan	2017-12-31	$500,000
Assets. Value of tangible personal property	2017-12-31	$0
Total contributions received or receivable from participants	2017-12-31	$445,940
Assets. Value of loans (other than to participants)	2017-12-31	$0
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$0
Other income received	2017-12-31	$1,326,259
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$660,823
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$9,823,179
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$9,162,356
Assets. Value of participant loans	2017-12-31	$31,736
Assets. Value of assets in partnership/joint-venture interests	2017-12-31	$0
Assets. Value of real-estate (other than employer real property)	2017-12-31	$0
Assets. Value of employer securities	2017-12-31	$0
Assets. Value of employer real property	2017-12-31	$0
Total contributions received or receivable from employer(s)	2017-12-31	$566,229
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$21,992
2016 : IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$1,867,952
Expenses. Total of all expenses incurred	2016-12-31	$370,668
Benefits paid (including direct rollovers)	2016-12-31	$347,376
Total plan assets at end of year	2016-12-31	$9,162,356
Total plan assets at beginning of year	2016-12-31	$7,665,072
Value of fidelity bond covering the plan	2016-12-31	$500,000
Total contributions received or receivable from participants	2016-12-31	$454,543
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$290,888
Other income received	2016-12-31	$621,292
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$1,497,284
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$9,162,356
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$7,665,072
Assets. Value of participant loans	2016-12-31	$29,792
Total contributions received or receivable from employer(s)	2016-12-31	$501,229
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$23,292
2015 : IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2015 401k financial data
Transfers to/from the plan	2015-12-31	$0
Total plan liabilities at end of year	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$2,149,105
Expenses. Total of all expenses incurred	2015-12-31	$523,832
Benefits paid (including direct rollovers)	2015-12-31	$506,496
Total plan assets at end of year	2015-12-31	$7,665,072
Total plan assets at beginning of year	2015-12-31	$6,039,799
Value of fidelity bond covering the plan	2015-12-31	$500,000
Total contributions received or receivable from participants	2015-12-31	$553,330
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$35,258
Other income received	2015-12-31	$-100,102
Noncash contributions received	2015-12-31	$0
Net income (gross income less expenses)	2015-12-31	$1,625,273
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$7,665,072
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$6,039,799
Assets. Value of participant loans	2015-12-31	$65,790
Total contributions received or receivable from employer(s)	2015-12-31	$1,660,619
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$17,336
2014 : IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$879,470
Expenses. Total of all expenses incurred	2014-12-31	$696,434
Benefits paid (including direct rollovers)	2014-12-31	$685,363
Total plan assets at end of year	2014-12-31	$6,039,799
Total plan assets at beginning of year	2014-12-31	$5,856,763
Value of fidelity bond covering the plan	2014-12-31	$500,000
Total contributions received or receivable from participants	2014-12-31	$392,122
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$199,339
Other income received	2014-12-31	$288,009
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$183,036
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$6,039,799
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$5,856,763
Assets. Value of participant loans	2014-12-31	$38,575
Total contributions received or receivable from employer(s)	2014-12-31	$0
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$11,071
2009 : IVORY INVESTMENT MANAGEMENT, LP 401(K) 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 IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN

2018: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	Yes
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: IVORY INVESTMENT MANAGEMENT, LP 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 – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: IVORY INVESTMENT MANAGEMENT, LP 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 – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 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	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
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
2009: IVORY INVESTMENT MANAGEMENT, LP 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
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 - Trust	Yes

Insurance Providers Used on plan

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

998602-000

Policy instance

Insurance contract or identification number	998602-000
Number of Individuals Covered	0
Insurance policy start date	2014-01-01
Insurance policy end date	2014-02-28
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $732
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?	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
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $0
Amount paid for insurance broker fees	732
Insurance broker organization code?	5
Insurance broker name	UNITED RETIREMENT PLAN CONSULTANTS

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Company Name:	IVORY INVESTMENT MANAGEMENT, LP
Employer identification number (EIN):	510446153
NAIC Classification:	523900