401k Plan data: STRATOS 401K RETIREMENT SAVINGS PLAN plan

STRATOS 401K RETIREMENT SAVINGS PLAN 401k Plan overview

Plan Name	STRATOS 401K RETIREMENT SAVINGS PLAN
Plan identification number	001

STRATOS 401K RETIREMENT 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.
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) received services of leased employees, as defined in Code section 414(n), during the plan year.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

STRATOS HOLDINGS, INC has sponsored the creation of one or more 401k plans.

Company Name: STRATOS HOLDINGS, INC

Employer identification number (EIN): 522103692

NAIC Classification: 517000

Additional information about STRATOS HOLDINGS, INC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 2869533

More information about STRATOS HOLDINGS, INC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STRATOS 401K RETIREMENT SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 PETER HEAD
001 2011-01-01 A. NEIL PRAKASH
001 2009-01-01 A. NEIL PRAKASH

Plan id#	Filing Submission Date	Name of Administrator
001	2012-01-01	PETER HEAD
001	2011-01-01	A. NEIL PRAKASH
001	2009-01-01	A. NEIL PRAKASH

Plan Statistics for STRATOS 401K RETIREMENT SAVINGS PLAN

401k plan membership statisitcs for STRATOS 401K RETIREMENT SAVINGS PLAN

Measure Date Value
2012: STRATOS 401K RETIREMENT SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 294
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 183
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 65
Total of all active and inactive participants 2012-01-01 250
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 250
Number of participants with account balances 2012-01-01 248
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 3
2011: STRATOS 401K RETIREMENT SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 298
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 208
Number of retired or separated participants receiving benefits 2011-01-01 2
Number of other retired or separated participants entitled to future benefits 2011-01-01 84
Total of all active and inactive participants 2011-01-01 294
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 294
Number of participants with account balances 2011-01-01 257
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 2
2009: STRATOS 401K RETIREMENT SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 351
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 194
Number of retired or separated participants receiving benefits 2009-01-01 1
Number of other retired or separated participants entitled to future benefits 2009-01-01 94
Total of all active and inactive participants 2009-01-01 289
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 289
Number of participants with account balances 2009-01-01 281
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 3

Measure	Date	Value
2012: STRATOS 401K RETIREMENT SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	294
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	183
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	65
Total of all active and inactive participants	2012-01-01	250
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	250
Number of participants with account balances	2012-01-01	248
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	3
2011: STRATOS 401K RETIREMENT SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	298
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	208
Number of retired or separated participants receiving benefits	2011-01-01	2
Number of other retired or separated participants entitled to future benefits	2011-01-01	84
Total of all active and inactive participants	2011-01-01	294
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	294
Number of participants with account balances	2011-01-01	257
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	2
2009: STRATOS 401K RETIREMENT SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	351
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	194
Number of retired or separated participants receiving benefits	2009-01-01	1
Number of other retired or separated participants entitled to future benefits	2009-01-01	94
Total of all active and inactive participants	2009-01-01	289
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	289
Number of participants with account balances	2009-01-01	281
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	3

Financial Data on STRATOS 401K RETIREMENT SAVINGS PLAN

Measure	Date	Value
2012 : STRATOS 401K RETIREMENT SAVINGS 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	$0
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	$4,686,313
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$2,028,885
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$2,014,177
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,903,290
Value of total assets at end of year	2012-12-31	$25,211,147
Value of total assets at beginning of year	2012-12-31	$22,553,719
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$14,708
Total interest from all sources	2012-12-31	$20,184
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$467,255
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	$467,255
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,178,340
Participant contributions at end of year	2012-12-31	$533,951
Participant contributions at beginning of year	2012-12-31	$460,427
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$9,054
Other income not declared elsewhere	2012-12-31	$5,752
Administrative expenses (other) incurred	2012-12-31	$14,708
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$2,657,428
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$25,211,147
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$22,553,719
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	$21,523,219
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$22,093,292
Interest on participant loans	2012-12-31	$20,184
Value of interest in common/collective trusts at end of year	2012-12-31	$3,153,977
Value of interest in common/collective trusts at beginning of year	2012-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$2,288,489
Net investment gain or loss from common/collective trusts	2012-12-31	$1,343
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	$715,896
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$2,014,177
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
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	ARSEMENT, REDD & MORELLA, L.L.C.
Accountancy firm EIN	2012-12-31	721287807
2011 : STRATOS 401K RETIREMENT SAVINGS PLAN 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	$0
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	$1,889,727
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$2,371,032
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$2,363,140
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$2,168,983
Value of total assets at end of year	2011-12-31	$22,553,719
Value of total assets at beginning of year	2011-12-31	$23,035,024
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$7,892
Total interest from all sources	2011-12-31	$23,599
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$502,764
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	$502,764
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$10,000,000
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	$1,319,412
Participant contributions at end of year	2011-12-31	$460,427
Participant contributions at beginning of year	2011-12-31	$465,302
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$63,690
Administrative expenses (other) incurred	2011-12-31	$7,892
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	$-481,305
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$22,553,719
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$23,035,024
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	$22,093,292
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$22,569,722
Interest on participant loans	2011-12-31	$23,599
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-805,619
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	$785,881
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$2,363,140
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	ARSEMENT, REDD & MORELLA, LLC
Accountancy firm EIN	2011-12-31	721287807
2010 : STRATOS 401K RETIREMENT SAVINGS PLAN 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	$4,597,575
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$2,170,509
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$2,165,249
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,118,855
Value of total assets at end of year	2010-12-31	$23,035,024
Value of total assets at beginning of year	2010-12-31	$20,607,958
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$5,260
Total interest from all sources	2010-12-31	$22,961
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$405,620
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	$405,620
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,312,997
Participant contributions at end of year	2010-12-31	$465,302
Participant contributions at beginning of year	2010-12-31	$393,114
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$22,394
Other income not declared elsewhere	2010-12-31	$2,024
Administrative expenses (other) incurred	2010-12-31	$5,260
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	$2,427,066
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$23,035,024
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$20,607,958
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	$22,569,722
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$20,180,392
Interest on participant loans	2010-12-31	$22,961
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$2,048,115
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	$783,464
Employer contributions (assets) at end of year	2010-12-31	$0
Employer contributions (assets) at beginning of year	2010-12-31	$34,452
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$2,165,249
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	ARSEMENT REDD AND MORELLA, LLC
Accountancy firm EIN	2010-12-31	721287807

Form 5500 Responses for STRATOS 401K RETIREMENT SAVINGS PLAN

2012: STRATOS 401K RETIREMENT SAVINGS PLAN 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: STRATOS 401K RETIREMENT SAVINGS PLAN 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: STRATOS 401K RETIREMENT SAVINGS 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	STRATOS HOLDINGS, INC
Employer identification number (EIN):	522103692
NAIC Classification:	517000

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	2869533