401k Plan data: NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN plan

NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN 401k Plan overview

Plan Name	NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN
Plan identification number	002

NATIONAL COAL OF ALABAMA, INC. 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.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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

NATIONAL COAL OF ALABAMA, INC. has sponsored the creation of one or more 401k plans.

Company Name: NATIONAL COAL OF ALABAMA, INC.

Employer identification number (EIN): 630691381

NAIC Classification: 212110
NAIC Description: Coal Mining

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2014-01-01 SCOTT DEPPE 2014-09-04 SCOTT DEPPE 2014-09-08
002 2012-01-01 SHERRY JONES SHERRY JONES 2013-07-05
002 2011-01-01 THOMAS A. BULLIS, CAO
002 2010-01-01 THOMAS A. BULLIS, CAO

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2014-01-01	SCOTT DEPPE	2014-09-04	SCOTT DEPPE	2014-09-08
002	2012-01-01	SHERRY JONES		SHERRY JONES	2013-07-05
002	2011-01-01	THOMAS A. BULLIS, CAO
002	2010-01-01	THOMAS A. BULLIS, CAO

Plan Statistics for NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN

401k plan membership statisitcs for NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN

Measure Date Value
2012: NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 194
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 78
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 30
Total of all active and inactive participants 2012-01-01 108
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 108
Number of participants with account balances 2012-01-01 100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 1
2011: NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 209
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 191
Number of retired or separated participants receiving benefits 2011-01-01 3
Number of other retired or separated participants entitled to future benefits 2011-01-01 21
Total of all active and inactive participants 2011-01-01 215
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 215
Number of participants with account balances 2011-01-01 128
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 8
2010: NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 156
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 180
Number of retired or separated participants receiving benefits 2010-01-01 4
Number of other retired or separated participants entitled to future benefits 2010-01-01 25
Total of all active and inactive participants 2010-01-01 209
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 209
Number of participants with account balances 2010-01-01 126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 2

Measure	Date	Value
2012: NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	194
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	78
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	30
Total of all active and inactive participants	2012-01-01	108
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	108
Number of participants with account balances	2012-01-01	100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	1
2011: NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	209
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	191
Number of retired or separated participants receiving benefits	2011-01-01	3
Number of other retired or separated participants entitled to future benefits	2011-01-01	21
Total of all active and inactive participants	2011-01-01	215
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	215
Number of participants with account balances	2011-01-01	128
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	8
2010: NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	156
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	180
Number of retired or separated participants receiving benefits	2010-01-01	4
Number of other retired or separated participants entitled to future benefits	2010-01-01	25
Total of all active and inactive participants	2010-01-01	209
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	209
Number of participants with account balances	2010-01-01	126
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	2

Financial Data on NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN

Measure	Date	Value
2012 : NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets	2012-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2012-12-31	$0
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets to this plan	2012-12-31	$0
Total transfer of assets from this plan	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$4,706
Expenses. Interest paid	2012-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$727,114
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$785,022
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$784,214
Expenses. Certain deemed distributions of participant loans	2012-12-31	$0
Value of total corrective distributions	2012-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$502,510
Value of total assets at end of year	2012-12-31	$2,389,154
Value of total assets at beginning of year	2012-12-31	$2,451,768
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$808
Total income from rents	2012-12-31	$0
Total interest from all sources	2012-12-31	$28,376
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$117
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	$117
Administrative expenses professional fees incurred	2012-12-31	$0
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$300,000
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
Amount of non-exempt transactions with any party-in-interest	2012-12-31	$0
Contributions received from participants	2012-12-31	$368,814
Participant contributions at end of year	2012-12-31	$54,225
Participant contributions at beginning of year	2012-12-31	$64,707
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$-642
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-12-31	$4,706
Other income not declared elsewhere	2012-12-31	$0
Administrative expenses (other) incurred	2012-12-31	$0
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	$0
Total non interest bearing cash at beginning of year	2012-12-31	$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	2012-12-31	No
Income. Non cash contributions	2012-12-31	$0
Value of net income/loss	2012-12-31	$-57,908
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$2,389,154
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$2,447,062
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
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2012-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2012-12-31	$0
Investment advisory and management fees	2012-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$32,145
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$0
Value of interest in pooled separate accounts at end of year	2012-12-31	$112,631
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$0
Interest on participant loans	2012-12-31	$2,563
Income. Interest from loans (other than to participants)	2012-12-31	$0
Interest earned on other investments	2012-12-31	$25,813
Income. Interest from US Government securities	2012-12-31	$0
Income. Interest from corporate debt instruments	2012-12-31	$0
Value of interest in common/collective trusts at end of year	2012-12-31	$2,190,153
Value of interest in common/collective trusts at beginning of year	2012-12-31	$88,098
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$2,294,655
Expenses. Payments to insurance carriers foe the provision of benefits	2012-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,184
Net investment gain/loss from pooled separate accounts	2012-12-31	$9,060
Net investment gain or loss from common/collective trusts	2012-12-31	$185,867
Net gain/loss from 103.12 investment entities	2012-12-31	$0
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	$133,696
Employer contributions (assets) at end of year	2012-12-31	$0
Employer contributions (assets) at beginning of year	2012-12-31	$0
Income. Dividends from preferred stock	2012-12-31	$0
Income. Dividends from common stock	2012-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$784,214
Contract administrator fees	2012-12-31	$808
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-12-31	$4,950
Liabilities. Value of benefit claims payable at beginning of year	2012-12-31	$0
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
Aggregate proceeds on sale of assets	2012-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2012-12-31	$0
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	KELLUM,WILSON& ASSOCIATES, P.C.
Accountancy firm EIN	2012-12-31	630910369
2011 : NATIONAL COAL OF ALABAMA, 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	$4,706
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$4,706
Total income from all sources (including contributions)	2011-12-31	$415,485
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$114,786
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$112,836
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$461,481
Value of total assets at end of year	2011-12-31	$2,451,768
Value of total assets at beginning of year	2011-12-31	$2,151,069
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$1,950
Total interest from all sources	2011-12-31	$1,499
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$300,000
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	$315,762
Participant contributions at end of year	2011-12-31	$64,707
Participant contributions at beginning of year	2011-12-31	$34,273
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$1,880
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$-642
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$-581
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$4,706
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$4,706
Administrative expenses (other) incurred	2011-12-31	$1,950
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	$300,699
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$2,447,062
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$2,146,363
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
Interest earned on other investments	2011-12-31	$1,499
Value of interest in common/collective trusts at end of year	2011-12-31	$88,098
Value of interest in common/collective trusts at beginning of year	2011-12-31	$70,906
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$2,294,655
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$2,046,471
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-47,495
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	$143,839
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$112,836
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$4,950
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	KELLUM, WILSON & ASSOCIATES, PC
Accountancy firm EIN	2011-12-31	063010369
2010 : NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total transfer of assets to this plan	2010-12-31	$1,732,959
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$4,706
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	$492,065
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$78,661
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$77,662
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$335,753
Value of total assets at end of year	2010-12-31	$2,151,069
Value of total assets at beginning of year	2010-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$999
Total interest from all sources	2010-12-31	$1,009
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$300,000
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	$229,881
Participant contributions at end of year	2010-12-31	$34,273
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$-581
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$4,706
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	$413,404
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$2,146,363
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$0
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
Interest on participant loans	2010-12-31	$1,009
Value of interest in common/collective trusts at end of year	2010-12-31	$70,906
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$2,046,471
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$155,303
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	$105,872
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$77,662
Contract administrator fees	2010-12-31	$999
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	KELLUM, WILSON & ASSOCIATES, PC
Accountancy firm EIN	2010-12-31	630910369

Form 5500 Responses for NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN

2012: NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
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 – 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: NATIONAL COAL OF ALABAMA, 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: NATIONAL COAL OF ALABAMA, INC. 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	First time form 5500 has been submitted	Yes
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 – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

711874

Policy instance

Insurance contract or identification number	711874
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $5,769
Total amount of fees paid to insurance company	USD $1,103
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No

HARTFORD LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 88072 )

Policy contract number

711874

Policy instance

Insurance contract or identification number	711874
Number of Individuals Covered	125
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $4,078
Total amount of fees paid to insurance company	USD $1,059
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $4,078
Insurance broker organization code?	3
Amount paid for insurance broker fees	1059
Additional information about fees paid to insurance broker	ADMINISTRATIVE FEES
Insurance broker name	ERISA SERVICES INC

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Company Name:	NATIONAL COAL OF ALABAMA, INC.
Employer identification number (EIN):	630691381
NAIC Classification:	212110
NAIC Description:	Coal Mining