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

AXIUM 401(K) PLAN 401k Plan overview

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

AXIUM 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

XTS SOFTWARE CORPORATION DBA AXIUM has sponsored the creation of one or more 401k plans.

Company Name: XTS SOFTWARE CORPORATION DBA AXIUM

Employer identification number (EIN): 931102309

NAIC Classification: 541519
NAIC Description: Other Computer Related Services

Form 5500 Filing Information

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

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 ROBERT WALTON 2016-11-17
001 2014-01-01 ROBERT WALTON
001 2013-01-01 ROBERT WALTON 2014-10-08
001 2012-01-01 DANIEL MAYLEBEN DANIEL MAYLEBEN 2013-05-31
001 2011-01-01 ALAN MILLS
001 2010-01-01 ALAN MILLS
001 2009-01-01 ALAN MILLS
001 2009-01-01 ALAN MILLS 2010-06-16

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2015-01-01	ROBERT WALTON	2016-11-17
001	2014-01-01	ROBERT WALTON
001	2013-01-01	ROBERT WALTON	2014-10-08
001	2012-01-01	DANIEL MAYLEBEN		DANIEL MAYLEBEN	2013-05-31
001	2011-01-01	ALAN MILLS
001	2010-01-01	ALAN MILLS
001	2009-01-01	ALAN MILLS
001	2009-01-01			ALAN MILLS	2010-06-16

Plan Statistics for AXIUM 401(K) PLAN

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

Measure Date Value
2014: AXIUM 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 136
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
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 33
Total of all active and inactive participants 2014-01-01 33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 33
Number of participants with account balances 2014-01-01 33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2012: AXIUM 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 84
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 89
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 8
Total of all active and inactive participants 2012-01-01 97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 97
Number of participants with account balances 2012-01-01 75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 8
2011: AXIUM 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 71
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 80
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 4
Total of all active and inactive participants 2011-01-01 84
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 84
Number of participants with account balances 2011-01-01 68
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: AXIUM 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 63
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 63
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 8
Total of all active and inactive participants 2010-01-01 71
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 71
Number of participants with account balances 2010-01-01 53
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 3
2009: AXIUM 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 77
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 55
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 8
Total of all active and inactive participants 2009-01-01 63
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 63
Number of participants with account balances 2009-01-01 48
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 3

Measure	Date	Value
2014: AXIUM 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	136
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
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	33
Total of all active and inactive participants	2014-01-01	33
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	33
Number of participants with account balances	2014-01-01	33
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2012: AXIUM 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	84
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	89
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	8
Total of all active and inactive participants	2012-01-01	97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	97
Number of participants with account balances	2012-01-01	75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	8
2011: AXIUM 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	71
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	80
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	4
Total of all active and inactive participants	2011-01-01	84
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	84
Number of participants with account balances	2011-01-01	68
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: AXIUM 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	63
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	63
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	8
Total of all active and inactive participants	2010-01-01	71
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	71
Number of participants with account balances	2010-01-01	53
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	3
2009: AXIUM 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	77
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	55
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	8
Total of all active and inactive participants	2009-01-01	63
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	63
Number of participants with account balances	2009-01-01	48
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	3

Financial Data on AXIUM 401(K) PLAN

Measure	Date	Value
2014 : AXIUM 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets from this plan	2014-12-31	$89,796
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$266
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$7,954
Total income from all sources (including contributions)	2014-12-31	$905,389
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$5,599,104
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$5,588,133
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$550,157
Value of total assets at end of year	2014-12-31	$640,885
Value of total assets at beginning of year	2014-12-31	$5,432,084
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$10,971
Total interest from all sources	2014-12-31	$4,231
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$68,069
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2014-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$68,069
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$350,000
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	$336,027
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$63,392
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$19,710
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$17,395
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$266
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$7,954
Other income not declared elsewhere	2014-12-31	$1,578
Administrative expenses (other) incurred	2014-12-31	$905
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	$-4,693,715
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$640,619
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$5,424,130
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$627,303
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$5,108,793
Interest on participant loans	2014-12-31	$2,099
Interest earned on other investments	2014-12-31	$2,132
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$1,115
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$281,354
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$196,735
Employer contributions (assets) at end of year	2014-12-31	$12,467
Employer contributions (assets) at beginning of year	2014-12-31	$240,189
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$5,588,133
Contract administrator fees	2014-12-31	$10,066
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	DIXON HUGHES GOODMAN LLP
Accountancy firm EIN	2014-12-31	560747981
2012 : AXIUM 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$1,069,693
Expenses. Total of all expenses incurred	2012-12-31	$312,633
Benefits paid (including direct rollovers)	2012-12-31	$308,681
Total plan assets at end of year	2012-12-31	$3,526,602
Total plan assets at beginning of year	2012-12-31	$2,769,542
Value of fidelity bond covering the plan	2012-12-31	$350,000
Total contributions received or receivable from participants	2012-12-31	$457,111
Contributions received from other sources (not participants or employers)	2012-12-31	$5,435
Other income received	2012-12-31	$427,496
Net income (gross income less expenses)	2012-12-31	$757,060
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$3,526,602
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$2,769,542
Assets. Value of participant loans	2012-12-31	$32,752
Total contributions received or receivable from employer(s)	2012-12-31	$179,651
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$3,952
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : AXIUM 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$439,239
Expenses. Total of all expenses incurred	2011-12-31	$113,637
Benefits paid (including direct rollovers)	2011-12-31	$111,881
Total plan assets at end of year	2011-12-31	$2,769,542
Total plan assets at beginning of year	2011-12-31	$2,443,940
Value of fidelity bond covering the plan	2011-12-31	$270,000
Total contributions received or receivable from participants	2011-12-31	$382,896
Other income received	2011-12-31	$-58,041
Net income (gross income less expenses)	2011-12-31	$325,602
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$2,769,542
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,443,940
Assets. Value of participant loans	2011-12-31	$29,183
Total contributions received or receivable from employer(s)	2011-12-31	$114,384
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$1,756
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : AXIUM 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$641,537
Expenses. Total of all expenses incurred	2010-12-31	$174,086
Benefits paid (including direct rollovers)	2010-12-31	$145,815
Total plan assets at end of year	2010-12-31	$2,443,940
Total plan assets at beginning of year	2010-12-31	$1,976,489
Value of fidelity bond covering the plan	2010-12-31	$200,000
Total contributions received or receivable from participants	2010-12-31	$285,517
Contributions received from other sources (not participants or employers)	2010-12-31	$22,535
Other income received	2010-12-31	$282,518
Net income (gross income less expenses)	2010-12-31	$467,451
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,443,940
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,976,489
Assets. Value of participant loans	2010-12-31	$39,043
Total contributions received or receivable from employer(s)	2010-12-31	$50,967
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$21,685
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$6,586
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : AXIUM 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for AXIUM 401(K) PLAN

2014: AXIUM 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
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 – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2012: AXIUM 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: AXIUM 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: AXIUM 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: AXIUM 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

370065-01

Policy instance

Insurance contract or identification number	370065-01
Number of Individuals Covered	3
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

Potentially related plans

AXIUM 401(K) PLAN [EIN = 134148676]

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Company Name:	XTS SOFTWARE CORPORATION DBA AXIUM
Employer identification number (EIN):	931102309
NAIC Classification:	541519
NAIC Description:	Other Computer Related Services