401k Plan data: NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN plan

NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN 401k Plan overview

Plan Name	NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN
Plan identification number	009

NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS 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 sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

NORTEK AIR SOLUTIONS, LLC has sponsored the creation of one or more 401k plans.

Company Name: NORTEK AIR SOLUTIONS, LLC

Employer identification number (EIN): 731015781

NAIC Classification: 333410

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
009 2015-01-01 JULIA L. MCGWIN, PLAN ADMIN.
009 2014-01-01 ALMON C. HALL, PLAN ADMINISTRATOR
009 2014-01-01 ALMON C. HALL, PLAN ADMINISTRATOR

Plan id#	Filing Submission Date	Name of Administrator
009	2015-01-01	JULIA L. MCGWIN, PLAN ADMIN.
009	2014-01-01	ALMON C. HALL, PLAN ADMINISTRATOR
009	2014-01-01	ALMON C. HALL, PLAN ADMINISTRATOR

Plan Statistics for NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN

401k plan membership statisitcs for NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN

Measure Date Value
2015: NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 1,620
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 1,587
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 1,238
Number of other retired or separated participants entitled to future benefits 2014-01-01 382
Total of all active and inactive participants 2014-01-01 1,620
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 1,620
Number of participants with account balances 2014-01-01 1,572
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 109

Measure	Date	Value
2015: NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	1,620
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	1,587
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	1,238
Number of other retired or separated participants entitled to future benefits	2014-01-01	382
Total of all active and inactive participants	2014-01-01	1,620
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	1,620
Number of participants with account balances	2014-01-01	1,572
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	109

Financial Data on NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN

Measure	Date	Value
2015 : NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-05-01	$0
Total transfer of assets from this plan	2015-05-01	$76,863,816
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-05-01	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-05-01	$0
Total income from all sources (including contributions)	2015-05-01	$4,327,759
Total loss/gain on sale of assets	2015-05-01	$0
Total of all expenses incurred	2015-05-01	$2,001,396
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-05-01	$2,001,396
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-05-01	$1,882,697
Value of total assets at end of year	2015-05-01	$0
Value of total assets at beginning of year	2015-05-01	$74,537,453
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-05-01	$0
Total interest from all sources	2015-05-01	$57,215
Total dividends received (eg from common stock, registered investment company shares)	2015-05-01	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-05-01	No
Was this plan covered by a fidelity bond	2015-05-01	Yes
Value of fidelity bond cover	2015-05-01	$10,000,000
If this is an individual account plan, was there a blackout period	2015-05-01	No
Were there any nonexempt tranactions with any party-in-interest	2015-05-01	No
Contributions received from participants	2015-05-01	$1,428,064
Participant contributions at end of year	2015-05-01	$0
Participant contributions at beginning of year	2015-05-01	$342,176
Income. Received or receivable in cash from other sources (including rollovers)	2015-05-01	$42,515
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-05-01	$0
Other income not declared elsewhere	2015-05-01	$555,727
Total non interest bearing cash at end of year	2015-05-01	$0
Total non interest bearing cash at beginning of year	2015-05-01	$672
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-05-01	No
Value of net income/loss	2015-05-01	$2,326,363
Value of net assets at end of year (total assets less liabilities)	2015-05-01	$0
Value of net assets at beginning of year (total assets less liabilities)	2015-05-01	$74,537,453
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-05-01	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-05-01	No
Were any leases to which the plan was party in default or uncollectible	2015-05-01	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-05-01	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-05-01	$14,336,641
Interest on participant loans	2015-05-01	$4,768
Interest earned on other investments	2015-05-01	$52,447
Value of interest in common/collective trusts at end of year	2015-05-01	$0
Value of interest in common/collective trusts at beginning of year	2015-05-01	$59,857,964
Net investment gain or loss from common/collective trusts	2015-05-01	$1,832,120
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-05-01	No
Was there a failure to transmit to the plan any participant contributions	2015-05-01	No
Has the plan failed to provide any benefit when due under the plan	2015-05-01	No
Contributions received in cash from employer	2015-05-01	$412,118
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-05-01	$2,001,396
Did the plan have assets held for investment	2015-05-01	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-05-01	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-05-01	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-05-01	Yes
Opinion of an independent qualified public accountant for this plan	2015-05-01	Disclaimer
Accountancy firm name	2015-05-01	DISANTO PRIEST & COMPANY
Accountancy firm EIN	2015-05-01	571139864
2014 : NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS 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	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$2,290
Total income from all sources (including contributions)	2014-12-31	$9,739,166
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$7,047,846
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$7,047,846
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$5,364,055
Value of total assets at end of year	2014-12-31	$74,537,453
Value of total assets at beginning of year	2014-12-31	$71,848,423
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$0
Total interest from all sources	2014-12-31	$809,898
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$3,939,536
Participant contributions at end of year	2014-12-31	$342,176
Participant contributions at beginning of year	2014-12-31	$291,529
Participant contributions at beginning of year	2014-12-31	$47,817
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$92,806
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$2,290
Total non interest bearing cash at end of year	2014-12-31	$672
Total non interest bearing cash at beginning of year	2014-12-31	$2,290
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	$2,691,320
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$74,537,453
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$71,846,133
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	$14,336,641
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$12,015,684
Interest on participant loans	2014-12-31	$14,624
Interest earned on other investments	2014-12-31	$795,274
Value of interest in common/collective trusts at end of year	2014-12-31	$59,857,964
Value of interest in common/collective trusts at beginning of year	2014-12-31	$57,627,562
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$93,083
Net investment gain or loss from common/collective trusts	2014-12-31	$3,472,130
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	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$1,331,713
Employer contributions (assets) at beginning of year	2014-12-31	$1,863,541
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$7,047,846
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	DISANTO PRIEST & CO.
Accountancy firm EIN	2014-12-31	571139864

Form 5500 Responses for NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN

2015: NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: NORTEK AIR SOLUTIONS LLC FLEXIBLE SAVINGS PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	Yes
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

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Company Name:	NORTEK AIR SOLUTIONS, LLC
Employer identification number (EIN):	731015781
NAIC Classification:	333410