401k Plan data: AUI 401(K) PLAN plan

AUI 401(K) PLAN 401k Plan overview

Plan Name	AUI 401(K) PLAN
Plan identification number	001

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

401k Sponsoring company profile

AUI HOLDINGS GROUP, INC. has sponsored the creation of one or more 401k plans.

Company Name: AUI HOLDINGS GROUP, INC.

Employer identification number (EIN): 751923221

NAIC Classification: 236200

Form 5500 Filing Information

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

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 CHARLES PLUMHOFF
001 2011-01-01 JENNIE KUNZE
001 2010-01-01 CHARLES PLUMHOFF
001 2009-01-01 CHRISTOPHER MOORE

Plan id#	Filing Submission Date	Name of Administrator
001	2012-01-01	CHARLES PLUMHOFF
001	2011-01-01	JENNIE KUNZE
001	2010-01-01	CHARLES PLUMHOFF
001	2009-01-01	CHRISTOPHER MOORE

Plan Statistics for AUI 401(K) PLAN

401k plan membership statisitcs for AUI 401(K) PLAN

Measure Date Value
2012: AUI 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 388
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 250
Number of retired or separated participants receiving benefits 2012-01-01 1
Number of other retired or separated participants entitled to future benefits 2012-01-01 95
Total of all active and inactive participants 2012-01-01 346
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 346
Number of participants with account balances 2012-01-01 345
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 8
2011: AUI 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 362
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 307
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 78
Total of all active and inactive participants 2011-01-01 388
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 388
Number of participants with account balances 2011-01-01 351
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 9
2010: AUI 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 254
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 264
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 97
Total of all active and inactive participants 2010-01-01 361
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 1
Total participants 2010-01-01 362
Number of participants with account balances 2010-01-01 281
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 1
2009: AUI 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 277
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 175
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 91
Total of all active and inactive participants 2009-01-01 266
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 266
Number of participants with account balances 2009-01-01 254
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 24

Measure	Date	Value
2012: AUI 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	388
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	250
Number of retired or separated participants receiving benefits	2012-01-01	1
Number of other retired or separated participants entitled to future benefits	2012-01-01	95
Total of all active and inactive participants	2012-01-01	346
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	346
Number of participants with account balances	2012-01-01	345
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	8
2011: AUI 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	362
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	307
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	78
Total of all active and inactive participants	2011-01-01	388
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	388
Number of participants with account balances	2011-01-01	351
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	9
2010: AUI 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	254
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	264
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	97
Total of all active and inactive participants	2010-01-01	361
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	1
Total participants	2010-01-01	362
Number of participants with account balances	2010-01-01	281
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	1
2009: AUI 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	277
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	175
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	91
Total of all active and inactive participants	2009-01-01	266
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	266
Number of participants with account balances	2009-01-01	254
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	24

Financial Data on AUI 401(K) PLAN

Measure	Date	Value
2012 : AUI 401(K) PLAN 2012 401k financial data
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	$0
Total income from all sources (including contributions)	2012-12-31	$1,830,903
Total of all expenses incurred	2012-12-31	$718,299
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$703,303
Value of total corrective distributions	2012-12-31	$9,172
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,203,352
Value of total assets at end of year	2012-12-31	$6,143,982
Value of total assets at beginning of year	2012-12-31	$5,031,378
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$5,824
Total interest from all sources	2012-12-31	$8,550
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$133,813
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	$133,813
Was this plan covered by a fidelity bond	2012-12-31	No
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	$652,678
Participant contributions at end of year	2012-12-31	$327,853
Participant contributions at beginning of year	2012-12-31	$253,825
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$550,674
Administrative expenses (other) incurred	2012-12-31	$5,824
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	$1,112,604
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$6,143,982
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$5,031,378
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	$5,695,378
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$4,744,376
Interest on participant loans	2012-12-31	$8,550
Value of interest in common/collective trusts at end of year	2012-12-31	$120,751
Value of interest in common/collective trusts at beginning of year	2012-12-31	$33,177
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$481,538
Net investment gain or loss from common/collective trusts	2012-12-31	$3,650
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$703,303
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	No
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	BLACKBURN MAY & COMPANY LLP
Accountancy firm EIN	2012-12-31	752851778
2011 : AUI 401(K) PLAN 2011 401k financial data
Total transfer of assets to this plan	2011-12-31	$76
Total income from all sources (including contributions)	2011-12-31	$453,451
Total of all expenses incurred	2011-12-31	$520,134
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$500,724
Value of total corrective distributions	2011-12-31	$12,842
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$573,389
Value of total assets at end of year	2011-12-31	$5,031,378
Value of total assets at beginning of year	2011-12-31	$5,097,985
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$6,568
Total interest from all sources	2011-12-31	$8,269
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$143,818
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	$143,818
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	$548,105
Participant contributions at end of year	2011-12-31	$253,825
Participant contributions at beginning of year	2011-12-31	$211,044
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$25,284
Administrative expenses (other) incurred	2011-12-31	$6,568
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	$-66,683
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$5,031,378
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$5,097,985
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	$4,744,376
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$4,879,106
Interest on participant loans	2011-12-31	$8,269
Value of interest in common/collective trusts at end of year	2011-12-31	$33,177
Value of interest in common/collective trusts at beginning of year	2011-12-31	$7,746
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	$89
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$89
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-273,113
Net investment gain or loss from common/collective trusts	2011-12-31	$1,088
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$500,724
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	2011-12-31	No
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	BLACKBURN MAY & CO., L.L.P.
Accountancy firm EIN	2011-12-31	752851778
2010 : AUI 401(K) PLAN 2010 401k financial data
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	$250
Total income from all sources (including contributions)	2010-12-31	$1,126,684
Total of all expenses incurred	2010-12-31	$208,753
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$154,242
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$452,177
Value of total assets at end of year	2010-12-31	$5,097,985
Value of total assets at beginning of year	2010-12-31	$4,180,304
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$54,511
Total interest from all sources	2010-12-31	$9,605
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$85,186
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	$85,186
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	Yes
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	$399,693
Participant contributions at end of year	2010-12-31	$211,044
Participant contributions at beginning of year	2010-12-31	$207,412
Participant contributions at end of year	2010-12-31	$0
Participant contributions at beginning of year	2010-12-31	$5,690
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$52,484
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$250
Administrative expenses (other) incurred	2010-12-31	$381
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	$917,931
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$5,097,985
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$4,180,054
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
Investment advisory and management fees	2010-12-31	$54,130
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$4,879,106
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$1,131,468
Interest on participant loans	2010-12-31	$9,516
Value of interest in common/collective trusts at end of year	2010-12-31	$7,746
Value of interest in common/collective trusts at beginning of year	2010-12-31	$2,734,653
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$89
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$101,081
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$101,081
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$89
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$579,560
Net investment gain or loss from common/collective trusts	2010-12-31	$156
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$154,242
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	2010-12-31	Yes
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	BLACKBURN MAY AND CO, LLP
Accountancy firm EIN	2010-12-31	752851778
2009 : AUI 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 AUI 401(K) PLAN

2012: AUI 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 funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: AUI 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 funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: AUI 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 funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: AUI 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

Potentially related plans

AUI 401(K) PLAN [EIN = 611435823]

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Company Name:	AUI HOLDINGS GROUP, INC.
Employer identification number (EIN):	751923221
NAIC Classification:	236200