401k Plan data: COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN plan

COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN 401k Plan overview

Plan Name	COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN
Plan identification number	002

COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING 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.
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.

401k Sponsoring company profile

APPALACHIA HOLDING COMPANY has sponsored the creation of one or more 401k plans.

Company Name: APPALACHIA HOLDING COMPANY

Employer identification number (EIN): 540295165

NAIC Classification: 212110
NAIC Description: Coal Mining

Additional information about APPALACHIA HOLDING COMPANY

Jurisdiction of Incorporation: Virginia Secretary of State

Incorporation Date: 1920-07-10

Company Identification Number: 0020405

Legal Registered Office Address: BANK OF AMERICA CENTER
16TH FLOOR, 1111 EAST MAIN STREET
RICHMOND
United States of America (USA)
23219

More information about APPALACHIA HOLDING COMPANY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2011-01-01 JUDY TWEED JUDY TWEED 2014-07-24
002 2009-01-01 JOHN M. POMA JOHN M. POMA 2010-07-12

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2011-01-01	JUDY TWEED		JUDY TWEED	2014-07-24
002	2009-01-01	JOHN M. POMA		JOHN M. POMA	2010-07-12

Plan Statistics for COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN

401k plan membership statisitcs for COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN

Measure Date Value
2011: COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 6,944
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 0
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 0
Number of participants with account balances 2011-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 7,596
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 5,471
Number of retired or separated participants receiving benefits 2009-01-01 41
Number of other retired or separated participants entitled to future benefits 2009-01-01 967
Total of all active and inactive participants 2009-01-01 6,479
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 15
Total participants 2009-01-01 6,494
Number of participants with account balances 2009-01-01 4,923
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 822

Measure	Date	Value
2011: COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	6,944
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	0
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	0
Number of participants with account balances	2011-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	7,596
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	5,471
Number of retired or separated participants receiving benefits	2009-01-01	41
Number of other retired or separated participants entitled to future benefits	2009-01-01	967
Total of all active and inactive participants	2009-01-01	6,479
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	15
Total participants	2009-01-01	6,494
Number of participants with account balances	2009-01-01	4,923
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	822

Financial Data on COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN

Measure	Date	Value
2011 : COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$0
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$0
Total transfer of assets from this plan	2011-12-31	$173,589,089
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$173,637,847
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$288,828
Expenses. Interest paid	2011-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$12,492,067
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$23,033,730
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$22,241,431
Value of total corrective distributions	2011-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$17,470,876
Value of total assets at end of year	2011-12-31	$173,637,847
Value of total assets at beginning of year	2011-12-31	$184,419,580
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$792,299
Total interest from all sources	2011-12-31	$96
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$6,690,231
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	$6,690,231
Assets. Real estate other than employer real property at end of year	2011-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2011-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2011-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2011-12-31	$0
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	Yes
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	$15,967,174
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$3,703
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2011-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$0
Assets. Loans (other than to participants) at end of year	2011-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2011-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$48,758
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$288,828
Other income not declared elsewhere	2011-12-31	$0
Administrative expenses (other) incurred	2011-12-31	$792,299
Liabilities. Value of operating payables at end of year	2011-12-31	$173,589,089
Total non interest bearing cash at end of year	2011-12-31	$0
Total non interest bearing cash at beginning of year	2011-12-31	$30
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
Income. Non cash contributions	2011-12-31	$0
Value of net income/loss	2011-12-31	$-10,541,663
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$184,130,752
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
Assets. partnership/joint venture interests at end of year	2011-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2011-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$104,384,611
Value of interest in pooled separate accounts at end of year	2011-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$0
Interest on participant loans	2011-12-31	$92
Interest earned on other investments	2011-12-31	$0
Income. Interest from US Government securities	2011-12-31	$0
Value of interest in common/collective trusts at end of year	2011-12-31	$0
Value of interest in common/collective trusts at beginning of year	2011-12-31	$58,402,217
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$173,637,847
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$381,243
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$381,243
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$4
Asset value of US Government securities at end of year	2011-12-31	$0
Asset value of US Government securities at beginning of year	2011-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-13,362,577
Net investment gain/loss from pooled separate accounts	2011-12-31	$0
Net investment gain or loss from common/collective trusts	2011-12-31	$1,693,441
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
Assets. Invements in employer securities at end of year	2011-12-31	$0
Assets. Invements in employer securities at beginning of year	2011-12-31	$21,247,776
Contributions received in cash from employer	2011-12-31	$1,503,702
Income. Dividends from preferred stock	2011-12-31	$0
Income. Dividends from common stock	2011-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$22,241,431
Asset. Corporate debt instrument preferred debt at end of year	2011-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2011-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2011-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2011-12-31	$0
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	2011-12-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-12-31	$0
Did the plan have assets held for investment	2011-12-31	No
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	Yes
Aggregate proceeds on sale of assets	2011-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$0
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	KEITER,STEPHENS,HURST,GARY & SHREAV
Accountancy firm EIN	2011-12-31	541631262
2010 : COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$0
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total transfer of assets to this plan	2010-12-31	$0
Total transfer of assets from this plan	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$288,828
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$190,382
Expenses. Interest paid	2010-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$36,349,233
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$23,114,848
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$22,512,106
Value of total corrective distributions	2010-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$15,226,836
Value of total assets at end of year	2010-12-31	$184,419,580
Value of total assets at beginning of year	2010-12-31	$171,086,749
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$602,742
Total interest from all sources	2010-12-31	$809
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Assets. Real estate other than employer real property at end of year	2010-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2010-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2010-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2010-12-31	$0
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
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	$13,866,963
Participant contributions at end of year	2010-12-31	$3,703
Participant contributions at beginning of year	2010-12-31	$14,064
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$10,100
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2010-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$0
Assets. Loans (other than to participants) at end of year	2010-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2010-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$288,828
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$190,382
Other income not declared elsewhere	2010-12-31	$406,854
Administrative expenses (other) incurred	2010-12-31	$602,742
Total non interest bearing cash at end of year	2010-12-31	$30
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
Income. Non cash contributions	2010-12-31	$0
Value of net income/loss	2010-12-31	$13,234,385
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$184,130,752
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$170,896,367
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
Assets. partnership/joint venture interests at end of year	2010-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2010-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$104,384,611
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$93,095,333
Interest on participant loans	2010-12-31	$789
Interest earned on other investments	2010-12-31	$0
Income. Interest from US Government securities	2010-12-31	$0
Value of interest in common/collective trusts at end of year	2010-12-31	$58,402,217
Value of interest in common/collective trusts at beginning of year	2010-12-31	$58,096,200
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$381,243
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$20
Asset value of US Government securities at end of year	2010-12-31	$0
Asset value of US Government securities at beginning of year	2010-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$18,572,620
Net investment gain/loss from pooled separate accounts	2010-12-31	$0
Net investment gain or loss from common/collective trusts	2010-12-31	$2,142,114
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
Assets. Invements in employer securities at end of year	2010-12-31	$21,247,776
Assets. Invements in employer securities at beginning of year	2010-12-31	$19,881,152
Contributions received in cash from employer	2010-12-31	$1,349,773
Income. Dividends from preferred stock	2010-12-31	$0
Income. Dividends from common stock	2010-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$22,512,106
Asset. Corporate debt instrument preferred debt at end of year	2010-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2010-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2010-12-31	$0
Assets. Corporate common stocks other than exployer securities at end of year	2010-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2010-12-31	$0
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
Aggregate proceeds on sale of assets	2010-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	KEITER,STEPHENS,HURST,GARY & SHREAV
Accountancy firm EIN	2010-12-31	541631262
2009 : COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING 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 COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN

2011: COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	Yes
2011-01-01	This submission is the final filing	Yes
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: COAL COMPANY SALARY DEFERRAL AND PROFIT SHARING PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
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:	APPALACHIA HOLDING COMPANY
Employer identification number (EIN):	540295165
NAIC Classification:	212110
NAIC Description:	Coal Mining

Jurisdiction of Incorporation:	Virginia Secretary of State
Incorporation Date:	1920-07-10
Company Identification Number:	0020405
Legal Registered Office Address:	BANK OF AMERICA CENTER 16TH FLOOR, 1111 EAST MAIN STREET RICHMOND United States of America (USA) 23219