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ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN 401k Plan overview

Plan NameALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN
Plan identification number 002

ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN Benefits

401k Plan TypeDefined 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) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ALPHA NATURAL RESOURCES, LLC has sponsored the creation of one or more 401k plans.

Company Name:ALPHA NATURAL RESOURCES, LLC
Employer identification number (EIN):562298262
NAIC Classification:212110
NAIC Description: Coal Mining

Additional information about ALPHA NATURAL RESOURCES, LLC

Jurisdiction of Incorporation: Washington Secretary of State Corporations Division
Incorporation Date: 2014-05-08
Company Identification Number: 603401721
Legal Registered Office Address: 12835 NEWCASTLE WAY #301

NEWCASTLE
United States of America (USA)
98056

More information about ALPHA NATURAL RESOURCES, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022018-01-01KRISTIE KESTNER2019-10-25 KRISTIE KESTNER2019-10-25
0022017-01-01JUDY HILL2018-09-17
0022016-01-01JUDY HILL
0022015-01-01JUDY HILL
0022014-01-01JUDY HILL

Plan Statistics for ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN

401k plan membership statisitcs for ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN

Measure Date Value
2016: ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01618
Total number of active participants reported on line 7a of the Form 55002016-01-010
Number of retired or separated participants receiving benefits2016-01-011
Number of other retired or separated participants entitled to future benefits2016-01-0168
Total of all active and inactive participants2016-01-0169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-0169
Number of participants with account balances2016-01-0169
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-011
2015: ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01644
Total number of active participants reported on line 7a of the Form 55002015-01-01561
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0157
Total of all active and inactive participants2015-01-01618
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01618
Number of participants with account balances2015-01-01615
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0134
2014: ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-010
Total number of active participants reported on line 7a of the Form 55002014-01-01589
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0155
Total of all active and inactive participants2014-01-01644
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01644
Number of participants with account balances2014-01-01628
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-014

Financial Data on ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN

Measure Date Value
2016 : ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$4,164
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$18,013
Total income from all sources (including contributions)2016-12-31$5,403,827
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$63,966,812
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$63,953,442
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$1,908,476
Value of total assets at end of year2016-12-31$8,964,268
Value of total assets at beginning of year2016-12-31$67,541,102
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$13,370
Total interest from all sources2016-12-31$70,921
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$397,240
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$397,240
Administrative expenses professional fees incurred2016-12-31$3,920
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$10,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$1,855,066
Participant contributions at end of year2016-12-31$10,277
Participant contributions at beginning of year2016-12-31$2,862,496
Participant contributions at end of year2016-12-31$3,245
Participant contributions at beginning of year2016-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$53,410
Liabilities. Value of operating payables at end of year2016-12-31$4,164
Liabilities. Value of operating payables at beginning of year2016-12-31$18,013
Total non interest bearing cash at end of year2016-12-31$0
Total non interest bearing cash at beginning of year2016-12-31$525
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$-58,562,985
Value of net assets at end of year (total assets less liabilities)2016-12-31$8,960,104
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$67,523,089
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Investment advisory and management fees2016-12-31$9,450
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$6,247,063
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$52,883,558
Interest on participant loans2016-12-31$70,921
Value of interest in common/collective trusts at end of year2016-12-31$2,682,124
Value of interest in common/collective trusts at beginning of year2016-12-31$11,769,130
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$21,559
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$2,866,112
Net investment gain or loss from common/collective trusts2016-12-31$161,078
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Employer contributions (assets) at end of year2016-12-31$0
Employer contributions (assets) at beginning of year2016-12-31$25,393
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$63,953,442
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31CHERRY BEKAERT LLP
Accountancy firm EIN2016-12-31560574444
2015 : ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$18,013
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$21,560
Total income from all sources (including contributions)2015-12-31$7,051,548
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$12,534,101
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$12,492,724
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$6,592,355
Value of total assets at end of year2015-12-31$67,541,102
Value of total assets at beginning of year2015-12-31$73,027,202
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$41,377
Total interest from all sources2015-12-31$121,146
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$2,831,007
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$2,831,007
Administrative expenses professional fees incurred2015-12-31$10,453
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$10,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$3,672,138
Participant contributions at end of year2015-12-31$2,862,496
Participant contributions at beginning of year2015-12-31$3,113,212
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$136,255
Liabilities. Value of operating payables at end of year2015-12-31$18,013
Liabilities. Value of operating payables at beginning of year2015-12-31$21,560
Total non interest bearing cash at end of year2015-12-31$525
Total non interest bearing cash at beginning of year2015-12-31$300
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$-5,482,553
Value of net assets at end of year (total assets less liabilities)2015-12-31$67,523,089
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$73,005,642
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Investment advisory and management fees2015-12-31$15,459
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$52,883,558
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$58,016,105
Interest on participant loans2015-12-31$121,146
Value of interest in common/collective trusts at end of year2015-12-31$11,769,130
Value of interest in common/collective trusts at beginning of year2015-12-31$11,897,585
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-2,484,609
Net investment gain or loss from common/collective trusts2015-12-31$-8,351
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$2,783,962
Employer contributions (assets) at end of year2015-12-31$25,393
Employer contributions (assets) at beginning of year2015-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$12,492,724
Contract administrator fees2015-12-31$15,465
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31CHERRY BEKAERT LLP
Accountancy firm EIN2015-12-31560574444
2014 : ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total transfer of assets to this plan2014-12-31$71,468,388
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$21,560
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$11,451,085
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$9,913,831
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$9,868,526
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$6,384,454
Value of total assets at end of year2014-12-31$73,027,202
Value of total assets at beginning of year2014-12-31$0
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$45,305
Total interest from all sources2014-12-31$130,211
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$2,625,242
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$2,625,242
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$10,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$3,564,716
Participant contributions at end of year2014-12-31$3,113,212
Participant contributions at beginning of year2014-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$264,032
Liabilities. Value of operating payables at end of year2014-12-31$21,560
Liabilities. Value of operating payables at beginning of year2014-12-31$0
Total non interest bearing cash at end of year2014-12-31$300
Total non interest bearing cash at beginning of year2014-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$1,537,254
Value of net assets at end of year (total assets less liabilities)2014-12-31$73,005,642
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Investment advisory and management fees2014-12-31$13,920
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$58,016,105
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$0
Interest on participant loans2014-12-31$130,211
Value of interest in common/collective trusts at end of year2014-12-31$11,897,585
Value of interest in common/collective trusts at beginning of year2014-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$1,920,981
Net investment gain or loss from common/collective trusts2014-12-31$390,197
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$2,555,706
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$9,868,526
Contract administrator fees2014-12-31$31,385
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31CHERRY BEKAERT LLP
Accountancy firm EIN2014-12-31560574444

Form 5500 Responses for ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN

2016: ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: ALPHA COAL WEST 401(K) RETIREMENT SAVINGS PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01First time form 5500 has been submittedYes
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes

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