401k Plan data: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN plan

AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN
Plan identification number	002

AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

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 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

AMERICAN ARIUM has sponsored the creation of one or more 401k plans.

Company Name: AMERICAN ARIUM

Employer identification number (EIN): 953464026

NAIC Classification: 335900

Additional information about AMERICAN ARIUM

Jurisdiction of Incorporation: California Department of State

Incorporation Date: 1977-02-17

Company Identification Number: C0809879

Legal Registered Office Address: 14811 Myford Road

Tustin
United States of America (USA)
92780

More information about AMERICAN ARIUM

Form 5500 Filing Information

Submission information for form 5500 for 401k plan AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2017-01-01 NICHOLAS L. SAAKVITNE NICHOLAS L. SAAKVITNE 2018-09-14
002 2016-01-01 NICHOLAS L. SAAKVITNE
002 2015-01-01 NICHOLAS L. SAAKVITNE
002 2014-01-01 NICHOLAS L. SAAKVITNE
002 2013-01-01 NICHOLAS SAAKVITNE
002 2012-01-01 LAWRENCE TRAYLOR
002 2011-01-01 LAWRENCE TRAYLOR
002 2009-01-01 DIANE I. DIRKS DIANE I. DIRKS 2010-10-05

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2017-01-01	NICHOLAS L. SAAKVITNE	NICHOLAS L. SAAKVITNE	2018-09-14
002	2016-01-01	NICHOLAS L. SAAKVITNE
002	2015-01-01	NICHOLAS L. SAAKVITNE
002	2014-01-01	NICHOLAS L. SAAKVITNE
002	2013-01-01	NICHOLAS SAAKVITNE
002	2012-01-01	LAWRENCE TRAYLOR
002	2011-01-01	LAWRENCE TRAYLOR
002	2009-01-01	DIANE I. DIRKS	DIANE I. DIRKS	2010-10-05

Plan Statistics for AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN

401k plan membership statisitcs for AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN

Measure Date Value
2017: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 36
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 0
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 5
Total of all active and inactive participants 2017-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 5
Number of participants with account balances 2017-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 36
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 36
Total of all active and inactive participants 2016-01-01 36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 36
Number of participants with account balances 2016-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 36
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
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 36
Total of all active and inactive participants 2015-01-01 36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 36
Number of participants with account balances 2015-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 36
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 36
Total of all active and inactive participants 2014-01-01 36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 36
Number of participants with account balances 2014-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 38
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
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 36
Total of all active and inactive participants 2013-01-01 36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 36
Number of participants with account balances 2013-01-01 36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 1
2012: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 43
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 26
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 12
Total of all active and inactive participants 2012-01-01 38
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 38
Number of participants with account balances 2012-01-01 38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 44
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 29
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 14
Total of all active and inactive participants 2011-01-01 43
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 43
Number of participants with account balances 2011-01-01 43
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2009: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 56
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 32
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 17
Total of all active and inactive participants 2009-01-01 49
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 49
Number of participants with account balances 2009-01-01 49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2017: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	36
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	0
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	5
Total of all active and inactive participants	2017-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	5
Number of participants with account balances	2017-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	36
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	36
Total of all active and inactive participants	2016-01-01	36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	36
Number of participants with account balances	2016-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	36
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
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	36
Total of all active and inactive participants	2015-01-01	36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	36
Number of participants with account balances	2015-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	36
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	36
Total of all active and inactive participants	2014-01-01	36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	36
Number of participants with account balances	2014-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	38
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
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	36
Total of all active and inactive participants	2013-01-01	36
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	36
Number of participants with account balances	2013-01-01	36
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	1
2012: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	43
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	26
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	12
Total of all active and inactive participants	2012-01-01	38
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	38
Number of participants with account balances	2012-01-01	38
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	44
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	29
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	14
Total of all active and inactive participants	2011-01-01	43
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	43
Number of participants with account balances	2011-01-01	43
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2009: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	56
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	32
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	17
Total of all active and inactive participants	2009-01-01	49
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	49
Number of participants with account balances	2009-01-01	49
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN

Measure	Date	Value
2017 : AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2017 401k financial data
Total income from all sources	2017-12-31	$2,861
Expenses. Total of all expenses incurred	2017-12-31	$552,910
Benefits paid (including direct rollovers)	2017-12-31	$543,857
Total plan assets at end of year	2017-12-31	$20,381
Total plan assets at beginning of year	2017-12-31	$570,430
Value of fidelity bond covering the plan	2017-12-31	$2,000,000
Expenses. Other expenses not covered elsewhere	2017-12-31	$9,053
Other income received	2017-12-31	$2,861
Net income (gross income less expenses)	2017-12-31	$-550,049
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$20,381
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$570,430
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2016 401k financial data
Total income from all sources	2016-12-31	$-301,453
Expenses. Total of all expenses incurred	2016-12-31	$3,899
Total plan assets at end of year	2016-12-31	$570,430
Total plan assets at beginning of year	2016-12-31	$875,782
Value of fidelity bond covering the plan	2016-12-31	$2,430,000
Expenses. Other expenses not covered elsewhere	2016-12-31	$3,899
Other income received	2016-12-31	$-301,453
Net income (gross income less expenses)	2016-12-31	$-305,352
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$570,430
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$875,782
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
2015 : AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2015 401k financial data
Total income from all sources	2015-12-31	$-1,125,124
Expenses. Total of all expenses incurred	2015-12-31	$29,862
Total plan assets at end of year	2015-12-31	$875,782
Total plan assets at beginning of year	2015-12-31	$2,030,768
Value of fidelity bond covering the plan	2015-12-31	$2,430,000
Assets. Value of loans (other than to participants)	2015-12-31	$509,199
Other income received	2015-12-31	$-1,125,124
Net income (gross income less expenses)	2015-12-31	$-1,154,986
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$875,782
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$2,030,768
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$29,862
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
2014 : AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$5,800
Expenses. Total of all expenses incurred	2014-12-31	$567,365
Benefits paid (including direct rollovers)	2014-12-31	$567,365
Total plan assets at end of year	2014-12-31	$2,030,768
Total plan assets at beginning of year	2014-12-31	$2,592,333
Value of fidelity bond covering the plan	2014-12-31	$2,430,000
Assets. Value of loans (other than to participants)	2014-12-31	$925,817
Other income received	2014-12-31	$5,800
Net income (gross income less expenses)	2014-12-31	$-561,565
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$2,030,768
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$2,592,333
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$40,000
Total income from all sources	2013-12-31	$908,194
Expenses. Total of all expenses incurred	2013-12-31	$1,966,644
Benefits paid (including direct rollovers)	2013-12-31	$1,909,405
Total plan assets at end of year	2013-12-31	$2,592,333
Total plan assets at beginning of year	2013-12-31	$3,610,783
Value of fidelity bond covering the plan	2013-12-31	$1,000,000
Total contributions received or receivable from participants	2013-12-31	$53,227
Assets. Value of loans (other than to participants)	2013-12-31	$1,564,631
Other income received	2013-12-31	$772,467
Net income (gross income less expenses)	2013-12-31	$-1,058,450
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$2,552,333
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$3,610,783
Assets. Value of employer securities	2013-12-31	$925,817
Total contributions received or receivable from employer(s)	2013-12-31	$82,500
Value of certain deemed distributions of participant loans	2013-12-31	$10,479
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$46,760
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2012 401k financial data
Total plan liabilities at beginning of year	2012-12-31	$98
Total income from all sources	2012-12-31	$543,779
Expenses. Total of all expenses incurred	2012-12-31	$297,263
Benefits paid (including direct rollovers)	2012-12-31	$297,248
Total plan assets at end of year	2012-12-31	$3,610,783
Total plan assets at beginning of year	2012-12-31	$3,364,365
Value of fidelity bond covering the plan	2012-12-31	$1,000,000
Total contributions received or receivable from participants	2012-12-31	$132,100
Other income received	2012-12-31	$182,623
Net income (gross income less expenses)	2012-12-31	$246,516
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$3,610,783
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$3,364,267
Assets. Value of participant loans	2012-12-31	$12,728
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2012-12-31	$659
Assets. Value of employer securities	2012-12-31	$1,952,397
Total contributions received or receivable from employer(s)	2012-12-31	$229,056
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$15
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$98
Total plan liabilities at beginning of year	2011-12-31	$57,100
Total income from all sources	2011-12-31	$158,111
Expenses. Total of all expenses incurred	2011-12-31	$193,501
Benefits paid (including direct rollovers)	2011-12-31	$193,431
Total plan assets at end of year	2011-12-31	$3,364,365
Total plan assets at beginning of year	2011-12-31	$3,456,757
Value of fidelity bond covering the plan	2011-12-31	$1,000,000
Total contributions received or receivable from participants	2011-12-31	$147,985
Other income received	2011-12-31	$-254,149
Net income (gross income less expenses)	2011-12-31	$-35,390
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$3,364,267
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$3,399,657
Assets. Value of participant loans	2011-12-31	$39,403
Assets. Value of employer securities	2011-12-31	$1,864,236
Total contributions received or receivable from employer(s)	2011-12-31	$264,275
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$70
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$57,100
Total plan liabilities at beginning of year	2010-12-31	$98
Total income from all sources	2010-12-31	$554,953
Expenses. Total of all expenses incurred	2010-12-31	$423,930
Benefits paid (including direct rollovers)	2010-12-31	$423,896
Total plan assets at end of year	2010-12-31	$3,456,757
Total plan assets at beginning of year	2010-12-31	$3,268,732
Value of fidelity bond covering the plan	2010-12-31	$1,000,000
Total contributions received or receivable from participants	2010-12-31	$161,067
Expenses. Other expenses not covered elsewhere	2010-12-31	$34
Other income received	2010-12-31	$124,850
Net income (gross income less expenses)	2010-12-31	$131,023
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$3,399,657
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$3,268,634
Assets. Value of employer securities	2010-12-31	$1,813,233
Total contributions received or receivable from employer(s)	2010-12-31	$269,036
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP 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 AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN

2017: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 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	No
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: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
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: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP 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 – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	Yes
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 – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP 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 is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP 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 – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: AMERICAN ARIUM EMPLOYEES 401(K) STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

20218

Policy instance

Insurance contract or identification number	20218
Number of Individuals Covered	0
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $6,341
Total amount of fees paid to insurance company	USD $1,002
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?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
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
Commission paid to Insurance Broker	USD $6,341
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	BROKER COMMISSION
Insurance broker organization code?	3
Insurance broker name	ROCKY MOUNTAIN EMPL BENEFITS, INC.

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

20218

Policy instance

Insurance contract or identification number	20218
Number of Individuals Covered	22
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $7,316
Total amount of fees paid to insurance company	USD $772
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?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
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
Commission paid to Insurance Broker	USD $7,316
Amount paid for insurance broker fees	0
Additional information about fees paid to insurance broker	BROKER COMMISSION
Insurance broker organization code?	3
Insurance broker name	ROCKY MOUNTAIN EMPL BENEFITS, INC.

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

20218

Policy instance

Insurance contract or identification number	20218
Number of Individuals Covered	23
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $6,692
Total amount of fees paid to insurance company	USD $839
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?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
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

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

20218

Policy instance

Insurance contract or identification number	20218
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $6,878
Total amount of fees paid to insurance company	USD $712
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?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Commission paid to Insurance Broker	USD $6,878
Insurance broker organization code?	3
Amount paid for insurance broker fees	712
Additional information about fees paid to insurance broker	TPA COMPENSATION
Insurance broker name	ROCKY MOUNTAIN EMPL BENEFITS, INC.

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Company Name:	AMERICAN ARIUM
Employer identification number (EIN):	953464026
NAIC Classification:	335900

Jurisdiction of Incorporation:	California Department of State
Incorporation Date:	1977-02-17
Company Identification Number:	C0809879
Legal Registered Office Address:	14811 Myford Road Tustin United States of America (USA) 92780