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PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 401k Plan overview

Plan NamePENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN
Plan identification number 003

PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN Benefits

401k Plan TypeDefined 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.
  • Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
  • Stock bonus
  • 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.
  • ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).
  • Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

401k Sponsoring company profile

PENFORD CORPORATION has sponsored the creation of one or more 401k plans.

Company Name:PENFORD CORPORATION
Employer identification number (EIN):911221360
NAIC Classification:325900
NAIC Description:Other Chemical Product and Preparation Manufacturing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0032015-09-01SHARON GARDNER SHARON GARDNER2016-10-21
0032014-09-01SHARON GARDNER
0032013-09-01SHARON GARDNER
0032012-09-01BRUCE KUENZI MARGARET VONDERSCHMIDT2014-06-13
0032011-09-01BRUCE KUENZI M. VON DER SCHMIDT2013-06-14
0032010-09-01BRUCE KUENZI M. VON DER SCHMIDT2012-06-13
0032009-09-01BRUCE KUENZI M. VON DER SCHMIDT2011-03-24

Plan Statistics for PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN

401k plan membership statisitcs for PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN

Measure Date Value
2015: PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year2015-09-01504
Total number of active participants reported on line 7a of the Form 55002015-09-010
Number of retired or separated participants receiving benefits2015-09-010
Number of other retired or separated participants entitled to future benefits2015-09-010
Total of all active and inactive participants2015-09-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-09-010
Total participants2015-09-010
Number of participants with account balances2015-09-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-09-010
2014: PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year2014-09-01528
Total number of active participants reported on line 7a of the Form 55002014-09-01387
Number of retired or separated participants receiving benefits2014-09-010
Number of other retired or separated participants entitled to future benefits2014-09-01109
Total of all active and inactive participants2014-09-01496
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-09-012
Total participants2014-09-01498
Number of participants with account balances2014-09-01456
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-09-010
2013: PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year2013-09-01476
Total number of active participants reported on line 7a of the Form 55002013-09-01431
Number of retired or separated participants receiving benefits2013-09-010
Number of other retired or separated participants entitled to future benefits2013-09-0197
Total of all active and inactive participants2013-09-01528
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-09-010
Total participants2013-09-01528
Number of participants with account balances2013-09-01459
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-09-010
2012: PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year2012-09-01424
Total number of active participants reported on line 7a of the Form 55002012-09-01401
Number of retired or separated participants receiving benefits2012-09-0175
Number of other retired or separated participants entitled to future benefits2012-09-010
Total of all active and inactive participants2012-09-01476
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-09-010
Total participants2012-09-01476
Number of participants with account balances2012-09-01432
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-09-010
2011: PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year2011-09-01376
Total number of active participants reported on line 7a of the Form 55002011-09-01366
Number of retired or separated participants receiving benefits2011-09-0158
Number of other retired or separated participants entitled to future benefits2011-09-010
Total of all active and inactive participants2011-09-01424
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-09-010
Total participants2011-09-01424
Number of participants with account balances2011-09-01379
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-09-010
2010: PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2010 401k membership
Total participants, beginning-of-year2010-09-01396
Total number of active participants reported on line 7a of the Form 55002010-09-01315
Number of retired or separated participants receiving benefits2010-09-0161
Number of other retired or separated participants entitled to future benefits2010-09-010
Total of all active and inactive participants2010-09-01376
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-09-010
Total participants2010-09-01376
Number of participants with account balances2010-09-01350
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-09-010
2009: PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year2009-09-01367
Total number of active participants reported on line 7a of the Form 55002009-09-01329
Number of retired or separated participants receiving benefits2009-09-010
Number of other retired or separated participants entitled to future benefits2009-09-0167
Total of all active and inactive participants2009-09-01396
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-09-010
Total participants2009-09-01396
Number of participants with account balances2009-09-01357
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-09-010

Financial Data on PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN

Measure Date Value
2016 : PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-01-15$0
Total transfer of assets from this plan2016-01-15$49,153,555
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-01-15$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-01-15$0
Total income from all sources (including contributions)2016-01-15$-543,293
Total loss/gain on sale of assets2016-01-15$0
Total of all expenses incurred2016-01-15$6,238,843
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-01-15$6,137,356
Expenses. Certain deemed distributions of participant loans2016-01-15$95,285
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-01-15$1,230,485
Value of total assets at end of year2016-01-15$0
Value of total assets at beginning of year2016-01-15$55,935,691
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-01-15$6,202
Total interest from all sources2016-01-15$13,823
Total dividends received (eg from common stock, registered investment company shares)2016-01-15$1,853,258
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-01-15Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2016-01-15$0
Total dividends received from registered investment company shares (eg mutual funds)2016-01-15$1,853,258
Administrative expenses professional fees incurred2016-01-15$6,202
Was this plan covered by a fidelity bond2016-01-15Yes
Value of fidelity bond cover2016-01-15$10,000,000
If this is an individual account plan, was there a blackout period2016-01-15No
Were there any nonexempt tranactions with any party-in-interest2016-01-15No
Contributions received from participants2016-01-15$750,101
Participant contributions at end of year2016-01-15$0
Participant contributions at beginning of year2016-01-15$1,009,456
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2016-01-15$0
Other income not declared elsewhere2016-01-15$800
Total non interest bearing cash at end of year2016-01-15$0
Total non interest bearing cash at beginning of year2016-01-15$10,161
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-01-15No
Value of net income/loss2016-01-15$-6,782,136
Value of net assets at end of year (total assets less liabilities)2016-01-15$0
Value of net assets at beginning of year (total assets less liabilities)2016-01-15$55,935,691
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-01-15No
Were any loans by the plan or fixed income obligations due to the plan in default2016-01-15No
Were any leases to which the plan was party in default or uncollectible2016-01-15No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-01-15$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-01-15$45,372,605
Interest on participant loans2016-01-15$13,823
Value of interest in common/collective trusts at end of year2016-01-15$0
Value of interest in common/collective trusts at beginning of year2016-01-15$9,543,469
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-01-15$-3,653,626
Net investment gain or loss from common/collective trusts2016-01-15$11,967
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-01-15No
Was there a failure to transmit to the plan any participant contributions2016-01-15No
Has the plan failed to provide any benefit when due under the plan2016-01-15No
Contributions received in cash from employer2016-01-15$480,384
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-01-15$6,137,356
Did the plan have assets held for investment2016-01-15No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-01-15No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-01-15Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-01-15Yes
Opinion of an independent qualified public accountant for this plan2016-01-15Disclaimer
Accountancy firm name2016-01-15EKS&H LLLP
Accountancy firm EIN2016-01-15461497033
2015 : PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-08-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-08-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-08-31$6,735
Total income from all sources (including contributions)2015-08-31$4,806,895
Total loss/gain on sale of assets2015-08-31$0
Total of all expenses incurred2015-08-31$6,278,434
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-08-31$6,165,300
Expenses. Certain deemed distributions of participant loans2015-08-31$100,232
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-08-31$4,915,619
Value of total assets at end of year2015-08-31$55,935,691
Value of total assets at beginning of year2015-08-31$57,413,965
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-08-31$12,902
Total interest from all sources2015-08-31$43,173
Total dividends received (eg from common stock, registered investment company shares)2015-08-31$3,629,305
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-08-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-08-31$3,629,305
Administrative expenses professional fees incurred2015-08-31$12,902
Was this plan covered by a fidelity bond2015-08-31Yes
Value of fidelity bond cover2015-08-31$5,000,000
If this is an individual account plan, was there a blackout period2015-08-31No
Were there any nonexempt tranactions with any party-in-interest2015-08-31No
Contributions received from participants2015-08-31$3,045,751
Participant contributions at end of year2015-08-31$1,009,456
Participant contributions at beginning of year2015-08-31$1,206,992
Other income not declared elsewhere2015-08-31$13,666
Total non interest bearing cash at end of year2015-08-31$10,161
Total non interest bearing cash at beginning of year2015-08-31$14,096
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-08-31No
Value of net income/loss2015-08-31$-1,471,539
Value of net assets at end of year (total assets less liabilities)2015-08-31$55,935,691
Value of net assets at beginning of year (total assets less liabilities)2015-08-31$57,407,230
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-08-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-08-31No
Were any leases to which the plan was party in default or uncollectible2015-08-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-08-31$45,372,605
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-08-31$44,425,637
Interest on participant loans2015-08-31$43,173
Value of interest in common/collective trusts at end of year2015-08-31$9,543,469
Value of interest in common/collective trusts at beginning of year2015-08-31$7,528,874
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2015-08-31$612,760
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2015-08-31$612,760
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-08-31$-3,822,882
Net investment gain or loss from common/collective trusts2015-08-31$28,014
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-08-31No
Was there a failure to transmit to the plan any participant contributions2015-08-31No
Has the plan failed to provide any benefit when due under the plan2015-08-31No
Assets. Invements in employer securities at beginning of year2015-08-31$3,578,040
Contributions received in cash from employer2015-08-31$1,869,868
Employer contributions (assets) at beginning of year2015-08-31$47,566
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-08-31$6,165,300
Liabilities. Value of benefit claims payable at beginning of year2015-08-31$6,735
Did the plan have assets held for investment2015-08-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-08-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-08-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-08-31Yes
Opinion of an independent qualified public accountant for this plan2015-08-31Disclaimer
Accountancy firm name2015-08-31EKS&H LLLP
Accountancy firm EIN2015-08-31461497033
2014 : PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2014 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2014-08-31$568
Total unrealized appreciation/depreciation of assets2014-08-31$568
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-08-31$6,735
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-08-31$0
Total income from all sources (including contributions)2014-08-31$10,740,009
Total loss/gain on sale of assets2014-08-31$0
Total of all expenses incurred2014-08-31$4,949,944
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-08-31$4,781,725
Expenses. Certain deemed distributions of participant loans2014-08-31$156,477
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-08-31$4,113,748
Value of total assets at end of year2014-08-31$57,413,965
Value of total assets at beginning of year2014-08-31$51,617,165
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-08-31$11,742
Total interest from all sources2014-08-31$45,542
Total dividends received (eg from common stock, registered investment company shares)2014-08-31$2,286,954
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-08-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-08-31$2,286,954
Administrative expenses professional fees incurred2014-08-31$11,742
Was this plan covered by a fidelity bond2014-08-31Yes
Value of fidelity bond cover2014-08-31$5,000,000
If this is an individual account plan, was there a blackout period2014-08-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-08-31$12,569
Were there any nonexempt tranactions with any party-in-interest2014-08-31No
Contributions received from participants2014-08-31$2,525,546
Participant contributions at end of year2014-08-31$1,206,992
Participant contributions at beginning of year2014-08-31$1,307,741
Income. Received or receivable in cash from other sources (including rollovers)2014-08-31$287,895
Total non interest bearing cash at end of year2014-08-31$14,096
Total non interest bearing cash at beginning of year2014-08-31$63,769
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-08-31No
Value of net income/loss2014-08-31$5,790,065
Value of net assets at end of year (total assets less liabilities)2014-08-31$57,407,230
Value of net assets at beginning of year (total assets less liabilities)2014-08-31$51,617,165
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-08-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-08-31No
Were any leases to which the plan was party in default or uncollectible2014-08-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-08-31$44,425,637
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-08-31$37,676,275
Interest on participant loans2014-08-31$45,542
Value of interest in common/collective trusts at end of year2014-08-31$7,528,874
Value of interest in common/collective trusts at beginning of year2014-08-31$7,714,294
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2014-08-31$612,760
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2014-08-31$743,766
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2014-08-31$743,766
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-08-31$4,150,159
Net investment gain or loss from common/collective trusts2014-08-31$143,038
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-08-31No
Was there a failure to transmit to the plan any participant contributions2014-08-31No
Has the plan failed to provide any benefit when due under the plan2014-08-31No
Assets. Invements in employer securities at end of year2014-08-31$3,578,040
Assets. Invements in employer securities at beginning of year2014-08-31$4,035,322
Contributions received in cash from employer2014-08-31$1,300,307
Employer contributions (assets) at end of year2014-08-31$47,566
Employer contributions (assets) at beginning of year2014-08-31$75,998
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-08-31$4,781,725
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32014-08-31No
Liabilities. Value of benefit claims payable at end of year2014-08-31$6,735
Did the plan have assets held for investment2014-08-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-08-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-08-31No
Aggregate proceeds on sale of assets2014-08-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-08-31Yes
Opinion of an independent qualified public accountant for this plan2014-08-31Disclaimer
Accountancy firm name2014-08-31EKS&H LLLP
Accountancy firm EIN2014-08-31461497033
2013 : PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2013-08-31$2,582,783
Total unrealized appreciation/depreciation of assets2013-08-31$2,582,783
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-08-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-08-31$0
Total income from all sources (including contributions)2013-08-31$12,289,050
Total loss/gain on sale of assets2013-08-31$0
Total of all expenses incurred2013-08-31$1,303,941
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-08-31$1,265,283
Expenses. Certain deemed distributions of participant loans2013-08-31$32,931
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-08-31$5,813,248
Value of total assets at end of year2013-08-31$51,617,165
Value of total assets at beginning of year2013-08-31$40,632,056
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-08-31$5,727
Total interest from all sources2013-08-31$47,176
Total dividends received (eg from common stock, registered investment company shares)2013-08-31$1,000,420
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-08-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-08-31$1,000,420
Was this plan covered by a fidelity bond2013-08-31Yes
Value of fidelity bond cover2013-08-31$5,000,000
If this is an individual account plan, was there a blackout period2013-08-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-08-31$0
Were there any nonexempt tranactions with any party-in-interest2013-08-31No
Contributions received from participants2013-08-31$2,298,370
Participant contributions at end of year2013-08-31$1,307,741
Participant contributions at beginning of year2013-08-31$1,198,323
Income. Received or receivable in cash from other sources (including rollovers)2013-08-31$2,263,397
Administrative expenses (other) incurred2013-08-31$5,727
Total non interest bearing cash at end of year2013-08-31$63,769
Total non interest bearing cash at beginning of year2013-08-31$11,026
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-08-31No
Value of net income/loss2013-08-31$10,985,109
Value of net assets at end of year (total assets less liabilities)2013-08-31$51,617,165
Value of net assets at beginning of year (total assets less liabilities)2013-08-31$40,632,056
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-08-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-08-31No
Were any leases to which the plan was party in default or uncollectible2013-08-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-08-31$37,676,275
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-08-31$28,419,845
Interest on participant loans2013-08-31$47,176
Value of interest in common/collective trusts at end of year2013-08-31$7,714,294
Value of interest in common/collective trusts at beginning of year2013-08-31$6,855,282
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2013-08-31$743,766
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2013-08-31$537,863
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2013-08-31$537,863
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-08-31$2,912,983
Net investment gain or loss from common/collective trusts2013-08-31$-67,560
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-08-31No
Was there a failure to transmit to the plan any participant contributions2013-08-31No
Has the plan failed to provide any benefit when due under the plan2013-08-31No
Assets. Invements in employer securities at end of year2013-08-31$4,035,322
Assets. Invements in employer securities at beginning of year2013-08-31$3,552,508
Contributions received in cash from employer2013-08-31$1,251,481
Employer contributions (assets) at end of year2013-08-31$75,998
Employer contributions (assets) at beginning of year2013-08-31$57,209
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-08-31$1,265,283
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32013-08-31No
Did the plan have assets held for investment2013-08-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-08-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-08-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-08-31Yes
Opinion of an independent qualified public accountant for this plan2013-08-31Disclaimer
Accountancy firm name2013-08-31EKS & H LLLP
Accountancy firm EIN2013-08-31461497033
2012 : PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2012-08-31$1,165,532
Total unrealized appreciation/depreciation of assets2012-08-31$1,165,532
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-08-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-08-31$0
Total income from all sources (including contributions)2012-08-31$6,679,382
Total loss/gain on sale of assets2012-08-31$0
Total of all expenses incurred2012-08-31$1,832,802
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-08-31$1,821,153
Expenses. Certain deemed distributions of participant loans2012-08-31$5,202
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-08-31$3,189,706
Value of total assets at end of year2012-08-31$40,632,056
Value of total assets at beginning of year2012-08-31$35,785,476
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-08-31$6,447
Total interest from all sources2012-08-31$36,183
Total dividends received (eg from common stock, registered investment company shares)2012-08-31$759,621
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-08-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-08-31$759,621
Was this plan covered by a fidelity bond2012-08-31Yes
Value of fidelity bond cover2012-08-31$5,000,000
If this is an individual account plan, was there a blackout period2012-08-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-08-31$0
Were there any nonexempt tranactions with any party-in-interest2012-08-31No
Contributions received from participants2012-08-31$2,042,409
Participant contributions at end of year2012-08-31$1,198,323
Participant contributions at beginning of year2012-08-31$333,540
Income. Received or receivable in cash from other sources (including rollovers)2012-08-31$82,796
Administrative expenses (other) incurred2012-08-31$6,447
Total non interest bearing cash at end of year2012-08-31$11,026
Total non interest bearing cash at beginning of year2012-08-31$6,172
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-08-31No
Value of net income/loss2012-08-31$4,846,580
Value of net assets at end of year (total assets less liabilities)2012-08-31$40,632,056
Value of net assets at beginning of year (total assets less liabilities)2012-08-31$35,785,476
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-08-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-08-31No
Were any leases to which the plan was party in default or uncollectible2012-08-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-08-31$28,419,845
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-08-31$24,934,096
Interest on participant loans2012-08-31$36,183
Value of interest in common/collective trusts at end of year2012-08-31$6,855,282
Value of interest in common/collective trusts at beginning of year2012-08-31$6,824,936
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2012-08-31$537,863
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2012-08-31$484,345
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2012-08-31$484,345
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-08-31$1,406,372
Net investment gain or loss from common/collective trusts2012-08-31$121,968
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-08-31No
Was there a failure to transmit to the plan any participant contributions2012-08-31No
Has the plan failed to provide any benefit when due under the plan2012-08-31No
Assets. Invements in employer securities at end of year2012-08-31$3,552,508
Assets. Invements in employer securities at beginning of year2012-08-31$3,202,387
Contributions received in cash from employer2012-08-31$1,064,501
Employer contributions (assets) at end of year2012-08-31$57,209
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-08-31$1,821,153
Did the plan have assets held for investment2012-08-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-08-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-08-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-08-31Yes
Opinion of an independent qualified public accountant for this plan2012-08-31Disclaimer
Accountancy firm name2012-08-31EKS & H LLLP
Accountancy firm EIN2012-08-31461497033
2011 : PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2011 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets2011-08-31$212,264
Total unrealized appreciation/depreciation of assets2011-08-31$212,264
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-08-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-08-31$59,452
Total income from all sources (including contributions)2011-08-31$6,836,599
Total loss/gain on sale of assets2011-08-31$0
Total of all expenses incurred2011-08-31$4,274,836
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-08-31$4,022,800
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-08-31$2,881,275
Value of total assets at end of year2011-08-31$35,785,476
Value of total assets at beginning of year2011-08-31$33,283,165
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-08-31$252,036
Total interest from all sources2011-08-31$25,714
Total dividends received (eg from common stock, registered investment company shares)2011-08-31$6,202
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-08-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-08-31$6,202
Was this plan covered by a fidelity bond2011-08-31Yes
Value of fidelity bond cover2011-08-31$5,000,000
If this is an individual account plan, was there a blackout period2011-08-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-08-31$0
Were there any nonexempt tranactions with any party-in-interest2011-08-31No
Contributions received from participants2011-08-31$1,922,206
Participant contributions at end of year2011-08-31$333,540
Participant contributions at beginning of year2011-08-31$326,467
Assets. Other investments not covered elsewhere at beginning of year2011-08-31$25,913
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2011-08-31$1,095
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2011-08-31$59,452
Administrative expenses (other) incurred2011-08-31$252,036
Total non interest bearing cash at end of year2011-08-31$6,172
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-08-31No
Value of net income/loss2011-08-31$2,561,763
Value of net assets at end of year (total assets less liabilities)2011-08-31$35,785,476
Value of net assets at beginning of year (total assets less liabilities)2011-08-31$33,223,713
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-08-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-08-31No
Were any leases to which the plan was party in default or uncollectible2011-08-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-08-31$24,934,096
Interest on participant loans2011-08-31$17,607
Value of interest in common/collective trusts at end of year2011-08-31$6,824,936
Value of interest in common/collective trusts at beginning of year2011-08-31$29,764,779
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2011-08-31$484,345
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2011-08-31$5,123
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2011-08-31$5,123
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2011-08-31$8,107
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-08-31$-1,317,265
Net investment gain or loss from common/collective trusts2011-08-31$5,028,409
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-08-31No
Was there a failure to transmit to the plan any participant contributions2011-08-31No
Has the plan failed to provide any benefit when due under the plan2011-08-31No
Assets. Invements in employer securities at end of year2011-08-31$3,202,387
Assets. Invements in employer securities at beginning of year2011-08-31$2,714,231
Contributions received in cash from employer2011-08-31$959,069
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-08-31$4,022,800
Assets. Corporate common stocks other than exployer securities at beginning of year2011-08-31$445,557
Did the plan have assets held for investment2011-08-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-08-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-08-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-08-31Yes
Opinion of an independent qualified public accountant for this plan2011-08-31Disclaimer
Accountancy firm name2011-08-31EHRHARDT KEEFE STEINER & HOTTMAN PC
Accountancy firm EIN2011-08-31840869721
2010 : PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-08-31$0

Form 5500 Responses for PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN

2015: PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2015 form 5500 responses
2015-09-01Type of plan entitySingle employer plan
2015-09-01Submission has been amendedNo
2015-09-01This submission is the final filingYes
2015-09-01This return/report is a short plan year return/report (less than 12 months)Yes
2015-09-01Plan is a collectively bargained planNo
2015-09-01Plan funding arrangement – TrustYes
2015-09-01Plan benefit arrangement - TrustYes
2014: PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2014 form 5500 responses
2014-09-01Type of plan entitySingle employer plan
2014-09-01Submission has been amendedNo
2014-09-01This submission is the final filingNo
2014-09-01This return/report is a short plan year return/report (less than 12 months)No
2014-09-01Plan is a collectively bargained planNo
2014-09-01Plan funding arrangement – TrustYes
2014-09-01Plan benefit arrangement - TrustYes
2013: PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-09-01Type of plan entitySingle employer plan
2013-09-01Submission has been amendedNo
2013-09-01This submission is the final filingNo
2013-09-01This return/report is a short plan year return/report (less than 12 months)No
2013-09-01Plan is a collectively bargained planNo
2013-09-01Plan funding arrangement – TrustYes
2013-09-01Plan benefit arrangement - TrustYes
2012: PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-09-01Type of plan entitySingle employer plan
2012-09-01Submission has been amendedNo
2012-09-01This submission is the final filingNo
2012-09-01This return/report is a short plan year return/report (less than 12 months)No
2012-09-01Plan is a collectively bargained planNo
2012-09-01Plan funding arrangement – TrustYes
2012-09-01Plan benefit arrangement - TrustYes
2011: PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-09-01Type of plan entitySingle employer plan
2011-09-01Submission has been amendedNo
2011-09-01This submission is the final filingNo
2011-09-01This return/report is a short plan year return/report (less than 12 months)No
2011-09-01Plan is a collectively bargained planNo
2011-09-01Plan funding arrangement – TrustYes
2011-09-01Plan benefit arrangement - TrustYes
2010: PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2010 form 5500 responses
2010-09-01Type of plan entitySingle employer plan
2010-09-01Submission has been amendedYes
2010-09-01This submission is the final filingNo
2010-09-01This return/report is a short plan year return/report (less than 12 months)No
2010-09-01Plan is a collectively bargained planNo
2010-09-01Plan funding arrangement – TrustYes
2010-09-01Plan benefit arrangement - TrustYes
2009: PENFORD CORPORATION SAVINGS AND STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-09-01Type of plan entitySingle employer plan
2009-09-01Submission has been amendedNo
2009-09-01This submission is the final filingNo
2009-09-01This return/report is a short plan year return/report (less than 12 months)No
2009-09-01Plan is a collectively bargained planNo
2009-09-01Plan funding arrangement – TrustYes
2009-09-01Plan benefit arrangement - TrustYes

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