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Chautauqua Chemicals Co., Inc.

Chautauqua Metal Finishing Supply 401K Plan
Form 5500 | Basic Information
Plan Information
Plan Year 10/01/2013 — 09/30/2014
Effective Date of Plan 10/01/1980
Net Assets as of 09/30/2014 $3,461,222
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 09/30/2014
Total 40
Total number of participants as of 10/01/2013 37
Number of participants with account balances 40

Financial Information as of 09/30/2014
Total Assets (EOY) $3,461,222
Total Liabilities (EOY) $0
Net Assets (EOY) $3,461,222
Financial Information as of 10/01/2013
Total Assets (BOY) $3,509,327
Total Liabilities (BOY) $0
Net Assets (BOY) $3,509,327
Cash from Employers $30,800
Cash from Participants $116,475
Others (including rollovers) $158,600
Other Income $419,956
Total Income $725,831
Net Income $-48,105
Total Benefit Payments $773,936
Corrective Distributions $0
Administrative Service Providers $0
Other Expenses $0
Total Expenses $773,936
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
2A Age/Service Weighted or New Comparability or Similar Plan Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New Comparability or Similar Plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the threshold or additional rate allowed under the permitted disparity rules of section 401(l)
2E Profit-sharing A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature.
2F ERISA section 404(c) Plan This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
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?