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FORM 5500 DATA

Alion Science and Technology Corporation Savings and Retirement Plan

Overview

Plan Information

  • Plan Year10/01/2010 — 09/30/2011
  • Date of Plan12/19/2001
  • Net Assets as of 09/30/2011 $309,708,778
  • Plan Number1
  • Plan Type Single Employer
  • Is the plan collectively bargained? No
  • Did the plan file for an extension of time or the DFVC Program? No
  • Plan Funding ArrangementInsurance Trust
  • Plan Benefit ArrangementInsurance Trust

Participant Information as of 09/30/2011

  • Active (Eligible) Participants2,980
  • Retired or separated participants receiving benefits338
  • Other retired or separated participants entitled to future benefits3,213
  • Subtotal6,531
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits56
  • Total6,587
  • Total number of participants as of 10/01/20106,673
  • Number of participants with account balances6,184
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested427

Expenses

  • Total Benefit Payments$0
  • Corrective Distributions$0
  • Administrative Service Providers$0
  • Other Expenses$0
  • Total Expenses$0
  • Total Transfers$0

Sponsor Information

  • Address1750 Tysons Blvd Ste 1300
  • CityMc Lean
  • StateVA
  • Zip22102-4220
  • Telephone(703) 269-3487
  • EIN54-2061691
  • Industry Code541700
  • Named AdministratorKerry Wilson
  • Named Plan SponsorKerry Wilson

Plan Administrator Information

  • Administrator NameAlion Science and Technology Corporation
  • Address1750 Tysons Blvd Ste 1300
  • CityMc Lean
  • StateVA
  • Zip22102-4220
  • Telephone(703) 269-3487
  • Administrator EIN54-2061691

Audit Information

  • Audit StatusAudited
  • AuditorDeloitte & Touche LLP
  • Auditor EIN13-3891517
  • Audit OpinionUnqualified
  • Audit Type Full Audit

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.
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.
2H 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.
2I Stock bonus A stock bonus plan is a type of profit-sharing by which a corporation uses its own stock to make contributions and distributions.
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.
2K 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 contributions 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.
2O ESOP other than a leveraged ESOP An Employee Stock Ownership Plan (ESOP) is a type of employee benefit plan designed to invest primarily in employer stock.
2S Automatic Enrollment Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
2T Participant-directed Account Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
3H Controlled Group Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).
3I Employer Securities Limitations Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.

Questions and Answers

Question Answer Amount
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
Were any loans by the plan or fixed income obligations due the plan in default as of the close of plan year or classified during the year as uncollectible? Disregard participant loans secured by participant's account balance. No
Were any leases to which the plan was a party in default or classified during the year as uncollectible? No
Were there any nonexempt transactions with any party-in-interest? No
Was this plan covered by a fidelity bond? Yes $3,000,000
Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No
Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan have assets held for investment? Yes
Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? No
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No
Has the plan failed to provide any benefit when due under the plan? No
If this is an individual account plan, was there a blackout period? No
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? No

Financials

Income and Expense Statement

Income $1,304,321
Contributions $35,527,105
Cash Contributions $24,533,855
Cash from Employers $2,169,933
Cash from Participants $20,999,028
Others (including rollovers) $1,364,894
Noncash Contributions $10,993,250
Total Earnings on Investments $-34,222,784
Total Interest $116,290
Interest-Bearing Cash $0
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $116,290
Interest from Other Investments $0
Total Dividends $1,296,045
Preferred Stock $0
Common Stock $0
Rents $0
Net gain (loss) on sale of assets $0
Aggregate Proceeds $0
Aggregate Carrying Amount $0
Total Unrealized Appreciation (depreciation) of assets $-32,528,593
Real Estate $0
Other $-32,528,593
Net investment gain (loss) from common/collective trusts $0
Net investment gain (loss) from pooled separate accounts $847,002
Net investment gain (loss) from master trust investment accounts $0
Net investment gain (loss) from 103-12 investment entities $0
Net investment gain (loss) from registered investment companies $-3,953,528
Other Income $0
Expenses $26,241,454
Total Benefit Payments $26,166,855
Directly to participants or beneficiaries, including direct rollovers $26,166,855
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $9,179
Certain deemed distributions of participant loans $0
Interest expense $0
Total Administrative Expenses $65,420
Professional Fees $51,241
Contract Administrator Fees $12,525
Investment Advisory and management fees $0
Other Administrative Fees $1,654
Net Income $-24,937,133
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

09/30/2011 09/30/2010 Change YOY
Total Assets $309,708,778 $336,542,271 -7.97%
Total noninterest-bearing cash $0 $0 0.0%
Receivables $1,399,416 $1,213,560 15.31%
Employer Contributions $532,806 $454,039 17.35%
Participant Contributions $816,741 $723,499 12.89%
Other Contributions $49,869 $36,022 38.44%
General Investments $0 $1,896,360 -100.00%
Interest-bearing cash $0 $1,896,360 -100.00%
U.S. Government Securities $0 $0 0.0%
Corporate Debt Instruments $0 $0 0.0%
Preferred $0 $0 0.0%
All Other $0 $0 0.0%
Corporate Stocks $0 $0 0.0%
Preferred $0 $0 0.0%
Common $0 $0 0.0%
Partnership/joint venture interests $0 $0 0.0%
Real estate (other than employer real property) $0 $0 0.0%
Loans (other than to participants) $0 $0 0.0%
Participants Loans $3,464,676 $2,970,238 16.65%
Value of interest in common/collective trusts $0 $0 0.0%
Value of interest in pooled separate accounts $107,919,080 $115,301,685 -6.40%
Value of interest in master trust investment accounts $0 $0 0.0%
Value of interest in 103-12 investment entities $0 $0 0.0%
Value of interest in registered investment companies $70,366,059 $64,368,504 9.32%
Value of funds held in insurance co. general account $0 $0 0.0%
Other Investments $0 $0 0.0%
Employer-related Investments $126,559,547 $150,791,924 -16.07%
Employer Securities $126,559,547 $150,791,924 -16.07%
Employer Real Property $0 $0 0.0%
Buildings and other property used in plan operation $0 $0 0.0%
Total Liabilities $0 $1,896,360 -100.00%
Benefit Claims Payable (1) $0 $0 0.0%
Operating Payables (1) $0 $0 0.0%
Acquisition Indebtedness (1) $0 $0 0.0%
Other liabilities (1) $0 $1,896,360 0.0%
Net Assets $309,708,778 $334,645,911 -7.45%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

  • Principal Life Insurance Company

Other Service Providers Receiving Direct or Indirect Compensation

Name Nature of Service Relationship to Plan Sponsor Direct Compensation Paid by Plan Indirect Compensation Paid by Plan Total Compensation
State Street Global Advisors Trustee (bank, trust company, or similar financial institution) Trustee $51,241 $0 $51,241
Principal Life Insurance Company Contract Administrator, Participant loan processing, Direct payment from the plan, Recordkeeping fees Contract Administrator $12,525 $0 $12,525
Total $63,766 $0 $63,766

Indirect Compensation

There are no service providers with indirect compensation listed for this plan.

Service Providers Who Fail or Refuse to Provide Information

There are no service providers who failed or refused to provide information.

Termination Information on Accountants and Enrolled Actuaries

There is no termination information for this plan.

Investments

Investments

Name of Investment Investment Manager Type of Investment Dollar Value
Prin Money Market Sa-I3 Principal Life Insurance Company DFE: Pooled Separate Account $31,492,498
Prin Lgcap S&P 500 Index Sa-I5 Principal Life Insurance Company DFE: Pooled Separate Account $11,985,207
Prin Lifetm 2020 Sep Acct-I3 Principal Life Insurance Company DFE: Pooled Separate Account $10,612,831
Prin Intl Growth Sep Acct-R6 Principal Life Insurance Company DFE: Pooled Separate Account $10,071,641
Prin Bond and Mtge Sa-I5 Principal Life Insurance Company DFE: Pooled Separate Account $9,457,310
Prin Midcap Blend Sep Acct-I2 Principal Life Insurance Company DFE: Pooled Separate Account $8,822,458
Prin Disc Largecap Blend Sa-I2 Principal Life Insurance Company DFE: Pooled Separate Account $6,191,492
Prin Lifetm 2010 Sep Acct-I3 Principal Life Insurance Company DFE: Pooled Separate Account $5,810,599
Prin Lifetm 2030 Sep Acct-I3 Principal Life Insurance Company DFE: Pooled Separate Account $5,726,953
Prin Lifetm 2040 Sep Acct-I3 Principal Life Insurance Company DFE: Pooled Separate Account $3,973,674
Prin Real Estate Secs Sa-R6 Principal Life Insurance Company DFE: Pooled Separate Account $1,881,387
Prin Lifetm Str Inc Sa-I3 Principal Life Insurance Company DFE: Pooled Separate Account $1,193,120
Prin Lifetm 2050 Sep Acct-I3 Principal Life Insurance Company DFE: Pooled Separate Account $699,910
Prin Largecap Value III Sa-I2 Principal Life Insurance Company DFE: Pooled Separate Account $0
Prin Lgcap Blend I Sep Acct-R6 Principal Life Insurance Company DFE: Pooled Separate Account $0
Total $107,919,080

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
Principal Life Insurance Company 6,587
EIN 42-0127290
Industry Code 61271
Contract Number 803922
Contract Year 10/01/2010 — 09/30/2011
Value in General Account at Year End $0
Value in Separate Accounts at Year End $107,919,080
Insurance Fees and Commissions $0
Persons Receiving Commissions and Fees There are no brokers listed for this plan.
Allocated Funds
Type of Contract Unspecified
Basis of premium rates
Premiums paid to carrier $0
Premiums due but unpaid at the end of the year $0
If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, enter amount $0
Specify the nature of the costs
Unallocated Funds
Type of Contract Unspecified
Balance at the end of the previous year $0
Additions $0
Contributions Deposited during the year $0
Dividends and credits $0
Interest credited during the year $0
Transferred from separate account $0
Other $0
Total of Balance and Additions $0
Deductions $0
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $0
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $0