401k Plan data: KNIGHT COMPANIES 401(K) PLAN plan

KNIGHT COMPANIES 401(K) PLAN 401k Plan overview

Plan Name	KNIGHT COMPANIES 401(K) PLAN
Plan identification number	001

KNIGHT COMPANIES 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
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

KNIGHTS COMPANIES, INC. has sponsored the creation of one or more 401k plans.

Company Name: KNIGHTS COMPANIES, INC.

Employer identification number (EIN): 570694571

NAIC Classification: 327300

Form 5500 Filing Information

Submission information for form 5500 for 401k plan KNIGHT COMPANIES 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 MARK OWENS
001 2013-01-01 MARK OWENS
001 2012-01-01 MICHAEL E KNIGHT, JR.
001 2011-01-01
001 2010-01-01
001 2009-01-01 MICHAEL E. KNIGHT JR. 2014-06-14
001 2008-01-01
001 2007-01-01 MARSHA L. EVANS QKA QPA ERPA

Financial Data on KNIGHT COMPANIES 401(K) PLAN

Measure	Date	Value
2014 : KNIGHT COMPANIES 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$1,100
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	$61,820
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$49,803
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$43,871
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$30,041
Value of total assets at end of year	2014-12-31	$407,030
Value of total assets at beginning of year	2014-12-31	$393,913
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$5,932
Total interest from all sources	2014-12-31	$340
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$16,574
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$16,574
Administrative expenses professional fees incurred	2014-12-31	$5,932
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$75,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$30,041
Participant contributions at end of year	2014-12-31	$2,649
Participant contributions at beginning of year	2014-12-31	$9,564
Participant contributions at end of year	2014-12-31	$497
Participant contributions at beginning of year	2014-12-31	$621
Liabilities. Value of operating payables at end of year	2014-12-31	$1,100
Liabilities. Value of operating payables at beginning of year	2014-12-31	$0
Total non interest bearing cash at end of year	2014-12-31	$1,100
Total non interest bearing cash at beginning of year	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$12,017
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$405,930
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$393,913
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$397,650
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$378,155
Interest on participant loans	2014-12-31	$340
Value of interest in common/collective trusts at end of year	2014-12-31	$5,021
Value of interest in common/collective trusts at beginning of year	2014-12-31	$4,373
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$113
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$1,200
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$1,200
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$14,811
Net investment gain or loss from common/collective trusts	2014-12-31	$54
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$43,871
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	MOSS & YANTIS, CPA, P.A.
Accountancy firm EIN	2014-12-31	471356737
2013 : KNIGHT COMPANIES 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$952
Total income from all sources (including contributions)	2013-12-31	$94,618
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$16,952
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$13,159
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$28,296
Value of total assets at end of year	2013-12-31	$393,913
Value of total assets at beginning of year	2013-12-31	$317,199
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$3,793
Total interest from all sources	2013-12-31	$488
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$11,420
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$11,420
Administrative expenses professional fees incurred	2013-12-31	$3,793
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$75,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$28,296
Participant contributions at end of year	2013-12-31	$9,564
Participant contributions at beginning of year	2013-12-31	$11,757
Participant contributions at end of year	2013-12-31	$621
Participant contributions at beginning of year	2013-12-31	$439
Liabilities. Value of operating payables at end of year	2013-12-31	$0
Liabilities. Value of operating payables at beginning of year	2013-12-31	$952
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$1,065
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$77,666
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$393,913
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$316,247
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$378,155
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$300,906
Interest on participant loans	2013-12-31	$488
Value of interest in common/collective trusts at end of year	2013-12-31	$4,373
Value of interest in common/collective trusts at beginning of year	2013-12-31	$3,032
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$1,200
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$54,354
Net investment gain or loss from common/collective trusts	2013-12-31	$60
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$13,159
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	CHRISTA M. DUNN, CPA, LLC
Accountancy firm EIN	2013-12-31	263396769
2012 : KNIGHT COMPANIES 401(K) 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	$952
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	$67,563
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$85,980
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$81,766
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$27,714
Value of total assets at end of year	2012-12-31	$317,199
Value of total assets at beginning of year	2012-12-31	$334,664
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$4,214
Total interest from all sources	2012-12-31	$671
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$7,446
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$7,446
Administrative expenses professional fees incurred	2012-12-31	$3,695
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$75,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$27,714
Participant contributions at end of year	2012-12-31	$11,757
Participant contributions at beginning of year	2012-12-31	$16,062
Participant contributions at end of year	2012-12-31	$439
Participant contributions at beginning of year	2012-12-31	$667
Administrative expenses (other) incurred	2012-12-31	$519
Liabilities. Value of operating payables at end of year	2012-12-31	$952
Liabilities. Value of operating payables at beginning of year	2012-12-31	$0
Total non interest bearing cash at end of year	2012-12-31	$1,065
Total non interest bearing cash at beginning of year	2012-12-31	$738
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	$-18,417
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$316,247
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$334,664
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	$300,906
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$314,800
Interest on participant loans	2012-12-31	$671
Value of interest in common/collective trusts at end of year	2012-12-31	$3,032
Value of interest in common/collective trusts at beginning of year	2012-12-31	$2,397
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$31,732
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	Yes
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$81,766
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	CHRISTA M. DUNN, CPA, LLC
Accountancy firm EIN	2012-12-31	263396769
2011 : KNIGHT COMPANIES 401(K) 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	$1,056
Total income from all sources (including contributions)	2011-12-31	$45,165
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$29,791
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$25,362
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$43,551
Value of total assets at end of year	2011-12-31	$334,664
Value of total assets at beginning of year	2011-12-31	$320,346
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$4,429
Total interest from all sources	2011-12-31	$535
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$7,988
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	$7,988
Administrative expenses professional fees incurred	2011-12-31	$4,429
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$75,000
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	$43,551
Participant contributions at end of year	2011-12-31	$16,062
Participant contributions at beginning of year	2011-12-31	$8,755
Participant contributions at end of year	2011-12-31	$667
Participant contributions at beginning of year	2011-12-31	$1,234
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$102
Liabilities. Value of operating payables at end of year	2011-12-31	$0
Liabilities. Value of operating payables at beginning of year	2011-12-31	$954
Total non interest bearing cash at end of year	2011-12-31	$738
Total non interest bearing cash at beginning of year	2011-12-31	$954
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	$15,374
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$334,664
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$319,290
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	$314,800
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$306,058
Interest on participant loans	2011-12-31	$535
Value of interest in common/collective trusts at end of year	2011-12-31	$2,397
Value of interest in common/collective trusts at beginning of year	2011-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$3,345
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$3,345
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-6,909
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	Yes
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$25,362
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	CHRISTA M DUNN, CPA, LLC
Accountancy firm EIN	2011-12-31	263396769
2010 : KNIGHT COMPANIES 401(K) 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	$1,056
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$1,073
Total income from all sources (including contributions)	2010-12-31	$75,101
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$65,730
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$61,867
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$38,983
Value of total assets at end of year	2010-12-31	$320,346
Value of total assets at beginning of year	2010-12-31	$310,992
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$3,863
Total interest from all sources	2010-12-31	$939
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$6,260
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	$6,260
Administrative expenses professional fees incurred	2010-12-31	$2,848
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$75,000
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	$38,983
Participant contributions at end of year	2010-12-31	$8,755
Participant contributions at beginning of year	2010-12-31	$11,802
Participant contributions at end of year	2010-12-31	$1,234
Participant contributions at beginning of year	2010-12-31	$3,501
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$102
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$0
Administrative expenses (other) incurred	2010-12-31	$1,015
Liabilities. Value of operating payables at end of year	2010-12-31	$954
Liabilities. Value of operating payables at beginning of year	2010-12-31	$1,073
Total non interest bearing cash at end of year	2010-12-31	$954
Total non interest bearing cash at beginning of year	2010-12-31	$1,073
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	$9,371
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$319,290
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$309,919
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	$306,058
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$291,428
Interest on participant loans	2010-12-31	$939
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$3,345
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$3,188
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$3,188
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$28,919
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	Yes
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$61,867
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	CHRISTA M DUNN, CPA, LLC
Accountancy firm EIN	2010-12-31	263396769
2009 : KNIGHT COMPANIES 401(K) PLAN 2009 401k financial data
Total unrealized appreciation/depreciation of assets	2009-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2009-12-31	$1,073
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2009-12-31	$221
Total income from all sources (including contributions)	2009-12-31	$93,762
Total loss/gain on sale of assets	2009-12-31	$0
Total of all expenses incurred	2009-12-31	$75,451
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2009-12-31	$68,340
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2009-12-31	$38,741
Value of total assets at end of year	2009-12-31	$310,992
Value of total assets at beginning of year	2009-12-31	$291,829
Total of administrative expenses incurred including professional, contract, advisory and management fees	2009-12-31	$7,111
Total interest from all sources	2009-12-31	$1,270
Total dividends received (eg from common stock, registered investment company shares)	2009-12-31	$6,279
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2009-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2009-12-31	$6,279
Administrative expenses professional fees incurred	2009-12-31	$6,537
Was this plan covered by a fidelity bond	2009-12-31	Yes
Value of fidelity bond cover	2009-12-31	$75,000
If this is an individual account plan, was there a blackout period	2009-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2009-12-31	No
Contributions received from participants	2009-12-31	$38,741
Participant contributions at end of year	2009-12-31	$11,802
Participant contributions at beginning of year	2009-12-31	$26,358
Participant contributions at end of year	2009-12-31	$3,501
Participant contributions at beginning of year	2009-12-31	$869
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2009-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2009-12-31	$221
Administrative expenses (other) incurred	2009-12-31	$574
Liabilities. Value of operating payables at end of year	2009-12-31	$1,073
Liabilities. Value of operating payables at beginning of year	2009-12-31	$0
Total non interest bearing cash at end of year	2009-12-31	$1,073
Total non interest bearing cash at beginning of year	2009-12-31	$5,023
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2009-12-31	No
Value of net income/loss	2009-12-31	$18,311
Value of net assets at end of year (total assets less liabilities)	2009-12-31	$309,919
Value of net assets at beginning of year (total assets less liabilities)	2009-12-31	$291,608
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2009-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2009-12-31	No
Were any leases to which the plan was party in default or uncollectible	2009-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2009-12-31	$291,428
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2009-12-31	$255,876
Interest on participant loans	2009-12-31	$1,239
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2009-12-31	$3,188
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2009-12-31	$3,703
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2009-12-31	$3,703
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2009-12-31	$31
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2009-12-31	$47,472
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2009-12-31	No
Was there a failure to transmit to the plan any participant contributions	2009-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2009-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2009-12-31	$68,340
Did the plan have assets held for investment	2009-12-31	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	2009-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2009-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2009-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2009-12-31	Disclaimer
Accountancy firm name	2009-12-31	CHRISTA M DUNN, CPA, LLC
Accountancy firm EIN	2009-12-31	263396769
2008 : KNIGHT COMPANIES 401(K) PLAN 2008 401k financial data
Total unrealized appreciation/depreciation of assets	2008-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2008-12-31	$221
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2008-12-31	$0
Total income from all sources (including contributions)	2008-12-31	$-13,873
Total loss/gain on sale of assets	2008-12-31	$0
Total of all expenses incurred	2008-12-31	$57,099
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2008-12-31	$47,328
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2008-12-31	$71,684
Value of total assets at end of year	2008-12-31	$291,829
Value of total assets at beginning of year	2008-12-31	$362,580
Total of administrative expenses incurred including professional, contract, advisory and management fees	2008-12-31	$9,771
Total interest from all sources	2008-12-31	$3,468
Total dividends received (eg from common stock, registered investment company shares)	2008-12-31	$6,376
Total dividends received from registered investment company shares (eg mutual funds)	2008-12-31	$6,376
Administrative expenses professional fees incurred	2008-12-31	$3,399
Was this plan covered by a fidelity bond	2008-12-31	Yes
Value of fidelity bond cover	2008-12-31	$75,000
If this is an individual account plan, was there a blackout period	2008-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2008-12-31	No
Contributions received from participants	2008-12-31	$58,047
Participant contributions at end of year	2008-12-31	$26,358
Participant contributions at beginning of year	2008-12-31	$52,461
Participant contributions at end of year	2008-12-31	$869
Participant contributions at beginning of year	2008-12-31	$1,759
Income. Received or receivable in cash from other sources (including rollovers)	2008-12-31	$5,373
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2008-12-31	$221
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2008-12-31	$0
Other income not declared elsewhere	2008-12-31	$-95,401
Administrative expenses (other) incurred	2008-12-31	$6,372
Total non interest bearing cash at end of year	2008-12-31	$5,023
Total non interest bearing cash at beginning of year	2008-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2008-12-31	No
Value of net income/loss	2008-12-31	$-70,972
Value of net assets at end of year (total assets less liabilities)	2008-12-31	$291,608
Value of net assets at beginning of year (total assets less liabilities)	2008-12-31	$362,580
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2008-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2008-12-31	No
Were any leases to which the plan was party in default or uncollectible	2008-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2008-12-31	$255,876
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2008-12-31	$0
Value of interest in pooled separate accounts at end of year	2008-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2008-12-31	$307,968
Interest on participant loans	2008-12-31	$3,468
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2008-12-31	$3,703
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2008-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2008-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2008-12-31	No
Was there a failure to transmit to the plan any participant contributions	2008-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2008-12-31	No
Contributions received in cash from employer	2008-12-31	$8,264
Employer contributions (assets) at end of year	2008-12-31	$0
Employer contributions (assets) at beginning of year	2008-12-31	$392
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2008-12-31	$47,328
Did the plan have assets held for investment	2008-12-31	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	2008-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2008-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2008-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2008-12-31	Disclaimer
Accountancy firm name	2008-12-31	CHRISTA M DUNN, CPA, LLC
Accountancy firm EIN	2008-12-31	263396769
2007 : KNIGHT COMPANIES 401(K) PLAN 2007 401k financial data
Total unrealized appreciation/depreciation of assets	2007-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2007-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2007-12-31	$0
Total income from all sources (including contributions)	2007-12-31	$66,102
Total loss/gain on sale of assets	2007-12-31	$0
Total of all expenses incurred	2007-12-31	$135,514
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2007-12-31	$130,434
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2007-12-31	$47,318
Value of total assets at end of year	2007-12-31	$362,580
Value of total assets at beginning of year	2007-12-31	$431,992
Total of administrative expenses incurred including professional, contract, advisory and management fees	2007-12-31	$5,080
Total interest from all sources	2007-12-31	$3,656
Total dividends received (eg from common stock, registered investment company shares)	2007-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2007-12-31	No
Administrative expenses professional fees incurred	2007-12-31	$5,080
Was this plan covered by a fidelity bond	2007-12-31	Yes
Value of fidelity bond cover	2007-12-31	$75,000
If this is an individual account plan, was there a blackout period	2007-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2007-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2007-12-31	No
Contributions received from participants	2007-12-31	$38,456
Participant contributions at end of year	2007-12-31	$52,461
Participant contributions at beginning of year	2007-12-31	$38,402
Participant contributions at end of year	2007-12-31	$1,759
Participant contributions at beginning of year	2007-12-31	$5,442
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2007-12-31	$677
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2007-12-31	No
Value of net income/loss	2007-12-31	$-69,412
Value of net assets at end of year (total assets less liabilities)	2007-12-31	$362,580
Value of net assets at beginning of year (total assets less liabilities)	2007-12-31	$431,992
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2007-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2007-12-31	No
Were any leases to which the plan was party in default or uncollectible	2007-12-31	No
Value of interest in pooled separate accounts at end of year	2007-12-31	$307,968
Value of interest in pooled separate accounts at beginning of year	2007-12-31	$386,023
Interest on participant loans	2007-12-31	$3,203
Interest earned on other investments	2007-12-31	$453
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2007-12-31	$15,128
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2007-12-31	No
Was there a failure to transmit to the plan any participant contributions	2007-12-31	No
Has the plan failed to provide any benefit when due under the plan	2007-12-31	No
Contributions received in cash from employer	2007-12-31	$8,862
Employer contributions (assets) at end of year	2007-12-31	$392
Employer contributions (assets) at beginning of year	2007-12-31	$1,448
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2007-12-31	$130,434
Did the plan have assets held for investment	2007-12-31	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	2007-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2007-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2007-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2007-12-31	Disclaimer
Accountancy firm name	2007-12-31	CHRISTA M. DUNN, CPA, LLC
Accountancy firm EIN	2007-12-31	263396769

Form 5500 Responses for KNIGHT COMPANIES 401(K) PLAN

2014: KNIGHT COMPANIES 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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: KNIGHT COMPANIES 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: KNIGHT COMPANIES 401(K) 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: KNIGHT COMPANIES 401(K) 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
2010: KNIGHT COMPANIES 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: KNIGHT COMPANIES 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 – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes
2008: KNIGHT COMPANIES 401(K) PLAN 2008 form 5500 responses
2008-01-01	Type of plan entity	Single employer plan
2008-01-01	Submission has been amended	Yes
2008-01-01	This submission is the final filing	No
2008-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-01-01	Plan is a collectively bargained plan	No
2008-01-01	Plan funding arrangement – Trust	Yes
2008-01-01	Plan benefit arrangement - Trust	Yes
2007: KNIGHT COMPANIES 401(K) PLAN 2007 form 5500 responses
2007-01-01	Type of plan entity	Single employer plan
2007-01-01	Submission has been amended	Yes
2007-01-01	This submission is the final filing	No
2007-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2007-01-01	Plan is a collectively bargained plan	No
2007-01-01	Plan funding arrangement – Insurance	Yes
2007-01-01	Plan funding arrangement – Trust	Yes
2007-01-01	Plan benefit arrangement – Insurance	Yes
2007-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )
Policy contract number	RM 82857-1
Policy instance	1

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Company Name:	KNIGHTS COMPANIES, INC.
Employer identification number (EIN):	570694571
NAIC Classification:	327300

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2014-01-01	MARK OWENS
001	2013-01-01	MARK OWENS
001	2012-01-01	MICHAEL E KNIGHT, JR.
001	2011-01-01
001	2010-01-01
001	2009-01-01	MICHAEL E. KNIGHT JR.	2014-06-14
001	2008-01-01
001	2007-01-01	MARSHA L. EVANS QKA QPA ERPA