401k Plan data: APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN plan

APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN
Plan identification number	002

APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING 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.
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

AAA LOCATING has sponsored the creation of one or more 401k plans.

Company Name: AAA LOCATING

Employer identification number (EIN): 770528516

NAIC Classification: 238210
NAIC Description: Electrical Contractors and Other Wiring Installation Contractors

Form 5500 Filing Information

Submission information for form 5500 for 401k plan APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2013-10-01
002 2012-10-01
002 2011-10-01 JOHN BERGMAN 2012-12-04
002 2010-10-01 JOHN BERGMAN 2012-04-17
002 2008-10-01

Plan Statistics for APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN

Measure Date Value
2013: APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-10-01 145
Total number of active participants reported on line 7a of the Form 5500 2013-10-01 0
Number of retired or separated participants receiving benefits 2013-10-01 0
Number of other retired or separated participants entitled to future benefits 2013-10-01 0
Total of all active and inactive participants 2013-10-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-10-01 0
Total participants 2013-10-01 0
Number of participants with account balances 2013-10-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-10-01 0
2012: APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-10-01 145
Total number of active participants reported on line 7a of the Form 5500 2012-10-01 145
Number of retired or separated participants receiving benefits 2012-10-01 0
Number of other retired or separated participants entitled to future benefits 2012-10-01 0
Total of all active and inactive participants 2012-10-01 145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-10-01 0
Total participants 2012-10-01 145
Number of participants with account balances 2012-10-01 93
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-10-01 0

Measure	Date	Value
2013: APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-10-01	145
Total number of active participants reported on line 7a of the Form 5500	2013-10-01	0
Number of retired or separated participants receiving benefits	2013-10-01	0
Number of other retired or separated participants entitled to future benefits	2013-10-01	0
Total of all active and inactive participants	2013-10-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-10-01	0
Total participants	2013-10-01	0
Number of participants with account balances	2013-10-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-10-01	0
2012: APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-10-01	145
Total number of active participants reported on line 7a of the Form 5500	2012-10-01	145
Number of retired or separated participants receiving benefits	2012-10-01	0
Number of other retired or separated participants entitled to future benefits	2012-10-01	0
Total of all active and inactive participants	2012-10-01	145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-10-01	0
Total participants	2012-10-01	145
Number of participants with account balances	2012-10-01	93
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-10-01	0

Financial Data on APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2014 : APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-09-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-09-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-09-30	$0
Total income from all sources (including contributions)	2014-09-30	$190,439
Total loss/gain on sale of assets	2014-09-30	$0
Total of all expenses incurred	2014-09-30	$3,396,001
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-09-30	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-09-30	$0
Value of total assets at end of year	2014-09-30	$0
Value of total assets at beginning of year	2014-09-30	$3,205,562
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-09-30	$3,396,001
Total interest from all sources	2014-09-30	$2,405
Total dividends received (eg from common stock, registered investment company shares)	2014-09-30	$145,479
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-09-30	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2014-09-30	$0
Total dividends received from registered investment company shares (eg mutual funds)	2014-09-30	$145,479
Administrative expenses professional fees incurred	2014-09-30	$3,382,231
Was this plan covered by a fidelity bond	2014-09-30	Yes
Value of fidelity bond cover	2014-09-30	$400,000
If this is an individual account plan, was there a blackout period	2014-09-30	No
Were there any nonexempt tranactions with any party-in-interest	2014-09-30	No
Assets. Loans (other than to participants) at end of year	2014-09-30	$0
Assets. Loans (other than to participants) at beginning of year	2014-09-30	$114,174
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-09-30	No
Value of net income/loss	2014-09-30	$-3,205,562
Value of net assets at end of year (total assets less liabilities)	2014-09-30	$0
Value of net assets at beginning of year (total assets less liabilities)	2014-09-30	$3,205,562
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-09-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-09-30	No
Were any leases to which the plan was party in default or uncollectible	2014-09-30	No
Investment advisory and management fees	2014-09-30	$13,770
Value of interest in pooled separate accounts at end of year	2014-09-30	$0
Value of interest in pooled separate accounts at beginning of year	2014-09-30	$3,004,872
Income. Interest from loans (other than to participants)	2014-09-30	$2,405
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-09-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-09-30	$86,516
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-09-30	$42,555
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-09-30	No
Was there a failure to transmit to the plan any participant contributions	2014-09-30	No
Has the plan failed to provide any benefit when due under the plan	2014-09-30	No
Did the plan have assets held for investment	2014-09-30	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	2014-09-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-09-30	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-09-30	Yes
Opinion of an independent qualified public accountant for this plan	2014-09-30	Disclaimer
Accountancy firm name	2014-09-30	NONE
2013 : APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-09-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-09-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-09-30	$0
Total income from all sources (including contributions)	2013-09-30	$1,158,368
Total loss/gain on sale of assets	2013-09-30	$0
Total of all expenses incurred	2013-09-30	$544,911
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-09-30	$543,821
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-09-30	$836,676
Value of total assets at end of year	2013-09-30	$3,205,562
Value of total assets at beginning of year	2013-09-30	$2,592,105
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-09-30	$1,090
Total interest from all sources	2013-09-30	$5,161
Total dividends received (eg from common stock, registered investment company shares)	2013-09-30	$75,893
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-09-30	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2013-09-30	$0
Total dividends received from registered investment company shares (eg mutual funds)	2013-09-30	$75,893
Was this plan covered by a fidelity bond	2013-09-30	Yes
Value of fidelity bond cover	2013-09-30	$400,000
If this is an individual account plan, was there a blackout period	2013-09-30	No
Were there any nonexempt tranactions with any party-in-interest	2013-09-30	No
Contributions received from participants	2013-09-30	$44,458
Income. Received or receivable in cash from other sources (including rollovers)	2013-09-30	$14,735
Assets. Loans (other than to participants) at end of year	2013-09-30	$114,174
Assets. Loans (other than to participants) at beginning of year	2013-09-30	$162,975
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-09-30	No
Value of net income/loss	2013-09-30	$613,457
Value of net assets at end of year (total assets less liabilities)	2013-09-30	$3,205,562
Value of net assets at beginning of year (total assets less liabilities)	2013-09-30	$2,592,105
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-09-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-09-30	No
Were any leases to which the plan was party in default or uncollectible	2013-09-30	No
Value of interest in pooled separate accounts at end of year	2013-09-30	$3,004,872
Value of interest in pooled separate accounts at beginning of year	2013-09-30	$2,347,314
Income. Interest from loans (other than to participants)	2013-09-30	$5,289
Interest earned on other investments	2013-09-30	$-128
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-09-30	$86,516
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-09-30	$81,816
Net investment gain/loss from pooled separate accounts	2013-09-30	$240,638
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-09-30	No
Was there a failure to transmit to the plan any participant contributions	2013-09-30	No
Has the plan failed to provide any benefit when due under the plan	2013-09-30	No
Contributions received in cash from employer	2013-09-30	$777,483
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-09-30	$543,821
Contract administrator fees	2013-09-30	$1,090
Did the plan have assets held for investment	2013-09-30	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-09-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-09-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-09-30	Yes
Opinion of an independent qualified public accountant for this plan	2013-09-30	Disclaimer
Accountancy firm name	2013-09-30	NONE

Form 5500 Responses for APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN

2013: APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-10-01	Type of plan entity	Single employer plan
2013-10-01	Submission has been amended	No
2013-10-01	This submission is the final filing	Yes
2013-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-10-01	Plan is a collectively bargained plan	No
2013-10-01	Plan funding arrangement – Insurance	Yes
2013-10-01	Plan funding arrangement – Trust	Yes
2013-10-01	Plan benefit arrangement – Insurance	Yes
2013-10-01	Plan benefit arrangement - Trust	Yes
2012: APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-10-01	Type of plan entity	Single employer plan
2012-10-01	Submission has been amended	No
2012-10-01	This submission is the final filing	No
2012-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-10-01	Plan is a collectively bargained plan	No
2012-10-01	Plan funding arrangement – Insurance	Yes
2012-10-01	Plan funding arrangement – Trust	Yes
2012-10-01	Plan benefit arrangement – Insurance	Yes
2012-10-01	Plan benefit arrangement - Trust	Yes
2008: APPLEGATE JOHNSTON, INC. 401(K) PROFIT SHARING PLAN 2008 form 5500 responses
2008-10-01	Type of plan entity	Single employer plan
2008-10-01	Submission has been amended	No
2008-10-01	This submission is the final filing	No
2008-10-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-10-01	Plan is a collectively bargained plan	No

Insurance Providers Used on plan

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

Policy contract number

GA712173

Policy instance

Insurance contract or identification number	GA712173
Number of Individuals Covered	0
Insurance policy start date	2013-10-01
Insurance policy end date	2014-09-30
Total amount of commissions paid to insurance broker	USD $7,929
Total amount of fees paid to insurance company	USD $1,782
Are there contracts with allocated funds for individual policies?	0
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?	Yes
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 $7,929
Amount paid for insurance broker fees	791
Additional information about fees paid to insurance broker	COMMISSIONS AND MARKETING FEES
Insurance broker organization code?	7
Insurance broker name	MERRILL LYNCH

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

Policy contract number

GA712173

Policy instance

Insurance contract or identification number	GA712173
Number of Individuals Covered	93
Insurance policy start date	2012-10-01
Insurance policy end date	2013-09-30
Total amount of commissions paid to insurance broker	USD $10,399
Total amount of fees paid to insurance company	USD $1,034
Are there contracts with allocated funds for individual policies?	0
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?	Yes
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 $10,399
Amount paid for insurance broker fees	1034
Additional information about fees paid to insurance broker	COMMISSIONS AND MARKETING FEES
Insurance broker organization code?	7
Insurance broker name	MERRILL LYNCH

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Company Name:	AAA LOCATING
Employer identification number (EIN):	770528516
NAIC Classification:	238210
NAIC Description:	Electrical Contractors and Other Wiring Installation Contractors

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
002	2013-10-01
002	2012-10-01
002	2011-10-01	JOHN BERGMAN	2012-12-04
002	2010-10-01	JOHN BERGMAN	2012-04-17
002	2008-10-01