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Chautauqua Chemicals Co., Inc.

Chautauqua Metal Finishing Supply 401K Plan
Form 5500 | Basic Information
Plan Information
Plan Year 10/01/2012 — 09/30/2013
Effective Date of Plan 10/01/1980
Net Assets as of 09/30/2013 $3,509,327
Plan Number 2
Plan Type Single Employer
Did the plan file for an extension of time or the DFVC Program? No

Participant Information as of 09/30/2013
Total 34
Total number of participants as of 10/01/2012 37
Number of participants with account balances 33

Financial Information as of 09/30/2013
Total Assets (EOY) $3,509,327
Total Liabilities (EOY) $0
Net Assets (EOY) $3,509,327
Financial Information as of 10/01/2012
Total Assets (BOY) $3,319,563
Total Liabilities (BOY) $0
Net Assets (BOY) $3,319,563
Cash from Employers $33,000
Cash from Participants $97,902
Others (including rollovers) $0
Other Income $627,145
Total Income $758,047
Net Income $189,764
Total Benefit Payments $568,283
Corrective Distributions $0
Administrative Service Providers $0
Other Expenses $0
Total Expenses $568,283
Total Transfers $0
Plan Sponsor Information
Address P.O. Box 100
Ashville, NY 14710
Telephone (716) 763-4114
EIN 16-0808507
Industry Code 424600
Named Administrator Amy Adam
Named Plan Sponsor Amy Adam

Benefits Provided Under the Plan
Code Benefit Description
2E Profit-sharing A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature.
2G 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.
2J 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.
3D 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.

Question   Answer Amount
1. During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? No  
2. Were there any nonexempt transactions with any party-in-interest? No  
3. Was this plan covered by a fidelity bond? Yes $400,000
4. Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No  
5. Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No  
6. Has the plan failed to provide any benefit when due under the plan? No  
7. If this is an individual account plan, was there a blackout period? No  
8. If there was a blackout period, have you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3?