401k Plan data: UNIQUE AIR, INC.401(K) PLAN plan

UNIQUE AIR, INC.401(K) PLAN 401k Plan overview

Plan Name	UNIQUE AIR, INC.401(K) PLAN
Plan identification number	001

UNIQUE AIR, INC.401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
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

UNIQUE AIR, INC. has sponsored the creation of one or more 401k plans.

Company Name: UNIQUE AIR, INC.

Employer identification number (EIN): 591605624

NAIC Classification: 238220
NAIC Description: Plumbing, Heating, and Air-Conditioning Contractors

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UNIQUE AIR, INC.401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01
001 2015-01-01 MELANIE WILLIAMSON 2016-07-25 PAUL BERCHEN 2016-07-25
001 2014-01-01 MELANIE WILLIAMSON 2015-06-02 PAUL BERCHEN 2015-06-02
001 2013-01-01 MELANIE WILLIAMSON 2014-06-03 PAUL BERCHEN 2014-06-03
001 2012-01-01 MELANIE WILLIAMSON PAUL BERCHEN 2013-10-02
001 2011-01-01 MICHAEL MONTGOMERY MICHAEL MONTGOMERY 2012-07-18
001 2010-01-01 MICHAEL MONTGOMERY MICHAEL MONTGOMERY 2011-07-25
001 2009-01-01 MICHAEL MONTGOMERY MICHAEL MONTGOMERY 2010-07-28
001 2009-01-01 2010-07-28

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2016-01-01
001	2015-01-01	MELANIE WILLIAMSON	2016-07-25	PAUL BERCHEN	2016-07-25
001	2014-01-01	MELANIE WILLIAMSON	2015-06-02	PAUL BERCHEN	2015-06-02
001	2013-01-01	MELANIE WILLIAMSON	2014-06-03	PAUL BERCHEN	2014-06-03
001	2012-01-01	MELANIE WILLIAMSON		PAUL BERCHEN	2013-10-02
001	2011-01-01	MICHAEL MONTGOMERY		MICHAEL MONTGOMERY	2012-07-18
001	2010-01-01	MICHAEL MONTGOMERY		MICHAEL MONTGOMERY	2011-07-25
001	2009-01-01	MICHAEL MONTGOMERY		MICHAEL MONTGOMERY	2010-07-28
001	2009-01-01		2010-07-28

Plan Statistics for UNIQUE AIR, INC.401(K) PLAN

401k plan membership statisitcs for UNIQUE AIR, INC.401(K) PLAN

Measure Date Value
2012: UNIQUE AIR, INC.401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 116
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 74
Number of other retired or separated participants entitled to future benefits 2012-01-01 4
Total of all active and inactive participants 2012-01-01 78
Total participants 2012-01-01 78
Number of participants with account balances 2012-01-01 23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: UNIQUE AIR, INC.401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 100
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 102
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 14
Total of all active and inactive participants 2011-01-01 116
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 116
Number of participants with account balances 2011-01-01 40
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 4
2010: UNIQUE AIR, INC.401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 114
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 64
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 36
Total of all active and inactive participants 2010-01-01 100
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 100
Number of participants with account balances 2010-01-01 62
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 5
2009: UNIQUE AIR, INC.401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 143
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 73
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 41
Total of all active and inactive participants 2009-01-01 114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 114
Number of participants with account balances 2009-01-01 76
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 9

Measure	Date	Value
2012: UNIQUE AIR, INC.401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	116
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	74
Number of other retired or separated participants entitled to future benefits	2012-01-01	4
Total of all active and inactive participants	2012-01-01	78
Total participants	2012-01-01	78
Number of participants with account balances	2012-01-01	23
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: UNIQUE AIR, INC.401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	100
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	102
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	14
Total of all active and inactive participants	2011-01-01	116
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	116
Number of participants with account balances	2011-01-01	40
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	4
2010: UNIQUE AIR, INC.401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	114
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	64
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	36
Total of all active and inactive participants	2010-01-01	100
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	100
Number of participants with account balances	2010-01-01	62
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	5
2009: UNIQUE AIR, INC.401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	143
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	73
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	41
Total of all active and inactive participants	2009-01-01	114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	114
Number of participants with account balances	2009-01-01	76
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	9

Financial Data on UNIQUE AIR, INC.401(K) PLAN

Measure	Date	Value
2012 : UNIQUE AIR, INC.401(K) PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-12-31	$292,076
Total of all expenses incurred	2012-12-31	$172,881
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$163,241
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$92,755
Value of total assets at end of year	2012-12-31	$1,937,785
Value of total assets at beginning of year	2012-12-31	$1,818,590
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$9,640
Total interest from all sources	2012-12-31	$15
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$12,904
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$12,904
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$78,518
Participant contributions at end of year	2012-12-31	$1,618
Participant contributions at beginning of year	2012-12-31	$512
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$427,109
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	$119,195
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$1,937,785
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$1,818,590
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	$1,509,058
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$1,818,078
Interest on participant loans	2012-12-31	$15
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$168,554
Net investment gain/loss from pooled separate accounts	2012-12-31	$17,848
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$14,237
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$163,241
Contract administrator fees	2012-12-31	$9,640
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	Yes
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	LUNCINDA L GALLAGHER, CPA
Accountancy firm EIN	2012-12-31	562352061
2011 : UNIQUE AIR, INC.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	$0
Total income from all sources (including contributions)	2011-12-31	$97,721
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$1,076,644
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,066,254
Expenses. Certain deemed distributions of participant loans	2011-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$111,698
Value of total assets at end of year	2011-12-31	$1,818,590
Value of total assets at beginning of year	2011-12-31	$2,797,513
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$10,390
Total interest from all sources	2011-12-31	$49
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$40,927
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	$40,927
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
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	$96,537
Participant contributions at end of year	2011-12-31	$512
Participant contributions at beginning of year	2011-12-31	$2,733
Administrative expenses (other) incurred	2011-12-31	$10,390
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	$-978,923
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$1,818,590
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$2,797,513
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	$1,818,078
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$2,794,780
Interest on participant loans	2011-12-31	$49
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-54,953
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$15,161
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,066,254
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	GREGORY, SHARER, & STUART, P.A.
Accountancy firm EIN	2011-12-31	591850025
2010 : UNIQUE AIR, INC.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	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$469,044
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$843,686
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$814,479
Expenses. Certain deemed distributions of participant loans	2010-12-31	$17,533
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$108,732
Value of total assets at end of year	2010-12-31	$2,797,513
Value of total assets at beginning of year	2010-12-31	$3,172,155
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$11,674
Total interest from all sources	2010-12-31	$3,064
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$46,510
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	$46,510
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
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	$92,751
Participant contributions at end of year	2010-12-31	$2,733
Participant contributions at beginning of year	2010-12-31	$16,330
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	$6,384
Administrative expenses (other) incurred	2010-12-31	$11,674
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	$-374,642
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$2,797,513
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$3,172,155
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	$2,794,780
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$3,149,441
Interest on participant loans	2010-12-31	$3,064
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$310,738
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$15,981
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$814,479
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	GREGORY, SHARER & STUART, P.A.
Accountancy firm EIN	2010-12-31	591850025
2009 : UNIQUE AIR, INC.401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for UNIQUE AIR, INC.401(K) PLAN

2012: UNIQUE AIR, INC.401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: UNIQUE AIR, INC.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: UNIQUE AIR, INC.401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
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: UNIQUE AIR, INC.401(K) 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

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

Policy instance

Number of Individuals Covered	40
Total amount of commissions paid to insurance broker	USD $14,365
Total amount of fees paid to insurance company	USD $508
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $14,365
Insurance broker organization code?	4
Amount paid for insurance broker fees	508
Insurance broker name	THE PENSION STUDIO

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Company Name:	UNIQUE AIR, INC.
Employer identification number (EIN):	591605624
NAIC Classification:	238220
NAIC Description:	Plumbing, Heating, and Air-Conditioning Contractors