401k Plan data: TRI-STATE BARGAINING 401K PLAN AND TRUST plan

TRI-STATE BARGAINING 401K PLAN AND TRUST 401k Plan overview

Plan Name	TRI-STATE BARGAINING 401K PLAN AND TRUST
Plan identification number	004

TRI-STATE BARGAINING 401K PLAN AND TRUST 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

TRI-STATE GENERATION AND TRANSMISSION ASSOCIATION INC. has sponsored the creation of one or more 401k plans.

Company Name: TRI-STATE GENERATION AND TRANSMISSION ASSOCIATION INC.

Employer identification number (EIN): 840464189

NAIC Classification: 221100

Form 5500 Filing Information

Submission information for form 5500 for 401k plan TRI-STATE BARGAINING 401K PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2016-01-01 DENISE CASCIANO
004 2015-01-01 DENISE CASCIANO
004 2015-01-01
004 2014-01-01 DENISE CASCIANO
004 2014-01-01 DENISE CASCIANO
004 2013-01-01 DENISE CASCIANO
004 2012-01-01 DENISE CASCIANO
004 2011-01-01 DENISE CASCIANO

Plan Statistics for TRI-STATE BARGAINING 401K PLAN AND TRUST

401k plan membership statisitcs for TRI-STATE BARGAINING 401K PLAN AND TRUST

Measure Date Value
2016: TRI-STATE BARGAINING 401K PLAN AND TRUST 2016 401k membership
Total participants, beginning-of-year 2016-01-01 358
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
2015: TRI-STATE BARGAINING 401K PLAN AND TRUST 2015 401k membership
Total participants, beginning-of-year 2015-01-01 355
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 351
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 7
Total of all active and inactive participants 2015-01-01 358
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 358
Number of participants with account balances 2015-01-01 126
2014: TRI-STATE BARGAINING 401K PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year 2014-01-01 358
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 350
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 5
Total of all active and inactive participants 2014-01-01 355
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 355
Number of participants with account balances 2014-01-01 109
2013: TRI-STATE BARGAINING 401K PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year 2013-01-01 346
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 355
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 3
Total of all active and inactive participants 2013-01-01 358
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 358
Number of participants with account balances 2013-01-01 90
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: TRI-STATE BARGAINING 401K PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year 2012-01-01 51
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 346
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 0
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
2011: TRI-STATE BARGAINING 401K PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year 2011-01-01 29
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 51
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 51
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 51

Measure	Date	Value
2016: TRI-STATE BARGAINING 401K PLAN AND TRUST 2016 401k membership
Total participants, beginning-of-year	2016-01-01	358
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
2015: TRI-STATE BARGAINING 401K PLAN AND TRUST 2015 401k membership
Total participants, beginning-of-year	2015-01-01	355
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	351
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	7
Total of all active and inactive participants	2015-01-01	358
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	358
Number of participants with account balances	2015-01-01	126
2014: TRI-STATE BARGAINING 401K PLAN AND TRUST 2014 401k membership
Total participants, beginning-of-year	2014-01-01	358
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	350
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	5
Total of all active and inactive participants	2014-01-01	355
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	355
Number of participants with account balances	2014-01-01	109
2013: TRI-STATE BARGAINING 401K PLAN AND TRUST 2013 401k membership
Total participants, beginning-of-year	2013-01-01	346
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	355
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	3
Total of all active and inactive participants	2013-01-01	358
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	358
Number of participants with account balances	2013-01-01	90
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: TRI-STATE BARGAINING 401K PLAN AND TRUST 2012 401k membership
Total participants, beginning-of-year	2012-01-01	51
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	346
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	0
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
2011: TRI-STATE BARGAINING 401K PLAN AND TRUST 2011 401k membership
Total participants, beginning-of-year	2011-01-01	29
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	51
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	51
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	51

Financial Data on TRI-STATE BARGAINING 401K PLAN AND TRUST

Measure	Date	Value
2016 : TRI-STATE BARGAINING 401K PLAN AND TRUST 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$11,101
Total transfer of assets from this plan	2016-12-31	$3,459,353
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$1,123,648
Total loss/gain on sale of assets	2016-12-31	$-14,375
Total of all expenses incurred	2016-12-31	$281,493
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$281,158
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$914,896
Value of total assets at end of year	2016-12-31	$0
Value of total assets at beginning of year	2016-12-31	$2,606,097
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$335
Total interest from all sources	2016-12-31	$2,324
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$107,973
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$107,451
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$776,352
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$51,244
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$138,544
Administrative expenses (other) incurred	2016-12-31	$66
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$842,155
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$2,606,097
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$269
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$2,512,794
Interest on participant loans	2016-12-31	$2,305
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$10,248
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$10,248
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$19
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$112,830
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Employer contributions (assets) at end of year	2016-12-31	$0
Employer contributions (assets) at beginning of year	2016-12-31	$15,831
Income. Dividends from common stock	2016-12-31	$522
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$281,158
Assets. Corporate common stocks other than exployer securities at end of year	2016-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2016-12-31	$15,980
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	Yes
Aggregate proceeds on sale of assets	2016-12-31	$253,543
Aggregate carrying amount (costs) on sale of assets	2016-12-31	$267,918
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	CLIFTON LARSON ALLEN, LLP
Accountancy firm EIN	2016-12-31	410746749
2015 : TRI-STATE BARGAINING 401K PLAN AND TRUST 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$-14,604
Total unrealized appreciation/depreciation of assets	2015-12-31	$-14,604
Total transfer of assets to this plan	2015-12-31	$0
Total transfer of assets from this plan	2015-12-31	$43,415
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$692,183
Total loss/gain on sale of assets	2015-12-31	$10,906
Total of all expenses incurred	2015-12-31	$24,874
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$24,678
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$682,330
Value of total assets at end of year	2015-12-31	$2,606,096
Value of total assets at beginning of year	2015-12-31	$1,982,201
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$196
Total interest from all sources	2015-12-31	$1,317
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$120,834
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$120,834
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$592,755
Participant contributions at end of year	2015-12-31	$51,244
Participant contributions at beginning of year	2015-12-31	$29,380
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$89,575
Administrative expenses (other) incurred	2015-12-31	$35
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$667,309
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$2,606,096
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$1,982,201
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$161
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$2,512,794
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$1,948,245
Interest on participant loans	2015-12-31	$1,311
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$10,248
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$4,576
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$4,576
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$6
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-108,600
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Employer contributions (assets) at end of year	2015-12-31	$15,831
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$24,678
Assets. Corporate common stocks other than exployer securities at end of year	2015-12-31	$15,979
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-12-31	$0
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Aggregate proceeds on sale of assets	2015-12-31	$201,044
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$190,138
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	CLIFTON LARSON ALLEN, LLP
Accountancy firm EIN	2015-12-31	410746749
2014 : TRI-STATE BARGAINING 401K PLAN AND TRUST 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$34,114
Total transfer of assets from this plan	2014-12-31	$29,337
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	$0
Total income from all sources (including contributions)	2014-12-31	$702,229
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$54,071
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$53,372
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$585,476
Value of total assets at end of year	2014-12-31	$1,982,203
Value of total assets at beginning of year	2014-12-31	$1,329,268
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$699
Total interest from all sources	2014-12-31	$934
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$138,063
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$138,063
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$465,766
Participant contributions at end of year	2014-12-31	$29,380
Participant contributions at beginning of year	2014-12-31	$23,881
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$119,710
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Administrative expenses (other) incurred	2014-12-31	$625
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$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	2014-12-31	No
Value of net income/loss	2014-12-31	$648,158
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$1,982,203
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$1,329,268
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
Investment advisory and management fees	2014-12-31	$74
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$1,948,247
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$1,243,820
Interest on participant loans	2014-12-31	$932
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$4,576
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$61,567
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$61,567
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$2
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-22,244
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
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$53,372
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	CLIFTON LARSON ALLEN, LLP
Accountancy firm EIN	2014-12-31	410746749
2013 : TRI-STATE BARGAINING 401K PLAN AND TRUST 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets from this plan	2013-12-31	$150,606
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$636,399
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$13,744
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$4,203
Value of total corrective distributions	2013-12-31	$9,364
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$456,874
Value of total assets at end of year	2013-12-31	$1,329,268
Value of total assets at beginning of year	2013-12-31	$857,219
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$177
Total interest from all sources	2013-12-31	$445
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$32,246
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$32,246
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$416,049
Participant contributions at end of year	2013-12-31	$23,881
Participant contributions at beginning of year	2013-12-31	$8,627
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$40,825
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$177
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$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	2013-12-31	No
Value of net income/loss	2013-12-31	$622,655
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$1,329,268
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$857,219
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$1,243,820
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$835,414
Interest on participant loans	2013-12-31	$439
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$61,567
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$13,178
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$13,178
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$6
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$146,834
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Employer contributions (assets) at end of year	2013-12-31	$0
Employer contributions (assets) at beginning of year	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$4,203
Did the plan have assets held for investment	2013-12-31	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	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	CLIFTON LARSON ALLEN, LLP
Accountancy firm EIN	2013-12-31	410746749
2012 : TRI-STATE BARGAINING 401K PLAN AND TRUST 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets from this plan	2012-12-31	$11,146
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	$450,094
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$33,882
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$33,439
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$379,682
Value of total assets at end of year	2012-12-31	$857,219
Value of total assets at beginning of year	2012-12-31	$452,153
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$443
Total interest from all sources	2012-12-31	$467
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$21,367
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$21,367
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	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	$338,503
Participant contributions at end of year	2012-12-31	$8,627
Participant contributions at beginning of year	2012-12-31	$2,041
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	$41,179
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	$0
Administrative expenses (other) incurred	2012-12-31	$443
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
Value of net income/loss	2012-12-31	$416,212
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$857,219
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$452,153
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	$835,414
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$440,186
Interest on participant loans	2012-12-31	$466
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$13,178
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$9,926
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$9,926
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$1
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$48,578
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	$0
Employer contributions (assets) at end of year	2012-12-31	$0
Employer contributions (assets) at beginning of year	2012-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$33,439
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	CLIFTON LARSON ALLEN, LLP
Accountancy firm EIN	2012-12-31	410746749
2011 : TRI-STATE BARGAINING 401K PLAN AND TRUST 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$67,374
Total transfer of assets from this plan	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$315,923
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$80
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$321,845
Value of total assets at end of year	2011-12-31	$452,153
Value of total assets at beginning of year	2011-12-31	$68,936
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$80
Total interest from all sources	2011-12-31	$167
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$13,483
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$13,483
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	$273,868
Participant contributions at end of year	2011-12-31	$2,041
Participant contributions at beginning of year	2011-12-31	$0
Participant contributions at end of year	2011-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$47,977
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$0
Administrative expenses (other) incurred	2011-12-31	$80
Total non interest bearing cash at end of year	2011-12-31	$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	2011-12-31	No
Income. Non cash contributions	2011-12-31	$0
Value of net income/loss	2011-12-31	$315,843
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$452,153
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$68,936
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	$440,186
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$68,352
Interest on participant loans	2011-12-31	$166
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$9,926
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$584
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$584
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$1
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-19,572
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	$0
Employer contributions (assets) at end of year	2011-12-31	$0
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	CLIFTON LARSON ALLEN, LLP
Accountancy firm EIN	2011-12-31	410746749
2010 : TRI-STATE BARGAINING 401K PLAN AND TRUST 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$68,945
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$10
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$65,539
Value of total assets at end of year	2010-12-31	$69,520
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	$10
Total interest from all sources	2010-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$1,096
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$1,096
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$65,539
Participant contributions at end of year	2010-12-31	$0
Participant contributions at beginning of year	2010-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$0
Administrative expenses (other) incurred	2010-12-31	$10
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
Income. Non cash contributions	2010-12-31	$0
Value of net income/loss	2010-12-31	$68,935
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$69,520
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$68,936
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$0
Interest on participant loans	2010-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$584
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$2,310
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	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$0
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

Form 5500 Responses for TRI-STATE BARGAINING 401K PLAN AND TRUST

2016: TRI-STATE BARGAINING 401K PLAN AND TRUST 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: TRI-STATE BARGAINING 401K PLAN AND TRUST 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	Yes
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
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: TRI-STATE BARGAINING 401K PLAN AND TRUST 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
2013: TRI-STATE BARGAINING 401K PLAN AND TRUST 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: TRI-STATE BARGAINING 401K PLAN AND TRUST 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 is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: TRI-STATE BARGAINING 401K PLAN AND TRUST 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	TRI-STATE GENERATION AND TRANSMISSION ASSOCIATION INC.
Employer identification number (EIN):	840464189
NAIC Classification:	221100

Plan id#	Filing Submission Date	Name of Administrator
004	2016-01-01	DENISE CASCIANO
004	2015-01-01	DENISE CASCIANO
004	2015-01-01
004	2014-01-01	DENISE CASCIANO
004	2014-01-01	DENISE CASCIANO
004	2013-01-01	DENISE CASCIANO
004	2012-01-01	DENISE CASCIANO
004	2011-01-01	DENISE CASCIANO