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Ainsworth Pet Nutrition, LLC

Plan Rating

Overview Financials Service Providers Investments Insurance Information

FORM 5500 DATA

Ainsworth Pet Nutrition Profit Sharing/401K Plan

Plan Rating

Overview Financials Service Providers Investments Insurance Information

Overview

Plan Information

Plan Year01/01/2016 — 12/31/2016
Date of Plan10/25/1961
Net Assets as of 12/31/2016 $52,652,198
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?Yes
Plan Funding Arrangement Trust
Plan Benefit Arrangement Trust

Participant Information as of 12/31/2016

Active (Eligible) Participants445
Retired or separated participants receiving benefits5
Other retired or separated participants entitled to future benefits111
Subtotal561
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
Total561
Total number of participants as of 01/01/2016509
Number of participants with account balances552
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested47

Expenses

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

Audit Information

Audit StatusAudited
AuditorBkd,LLP
Auditor EIN44-0160260
Audit Opinion Disclaimer
Audit TypeLimited Scope 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.
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.
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.
2R	Brokerage Window	Participant-directed brokerage accounts provided as an investment option under the plan.
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.
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.

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	$500,000
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

$9,849,811

Contributions

$6,183,500

Cash Contributions

$6,183,500

	Cash from Employers	$3,304,239
	Cash from Participants	$2,468,614
	Others (including rollovers)	$410,647

Noncash Contributions

Total Earnings on Investments

$3,666,311

Total Interest

$1,338

	Interest-Bearing Cash	$1,338
	U.S. Government Securities	$0
	Corporate Debt Instruments	$0
	Loans (other than to participants)	$0
	Participant Loans	$0
	Interest from Other Investments	$0

Total Dividends

$1,562,120

	Preferred Stock	$0
	Common Stock	$45,265

Rents

Net gain (loss) on sale of assets

$61,418

	Aggregate Proceeds	$583,818
	Aggregate Carrying Amount	$522,400

Total Unrealized Appreciation (depreciation) of assets

$133,126

	Real Estate	$0
	Other	$133,126

Net investment gain (loss) from common/collective trusts

$66,085

Net investment gain (loss) from pooled separate accounts

Net investment gain (loss) from master trust investment accounts

Net investment gain (loss) from 103-12 investment entities

Net investment gain (loss) from registered investment companies

$1,842,224

Other Income

Expenses

$4,630,919

Total Benefit Payments

$4,626,292

	Directly to participants or beneficiaries, including direct rollovers	$4,626,292
	To insurance carriers for the provision of benefits	$0
	Other Benefit Payment Fees	$0

Corrective Distributions

$11,752

Certain deemed distributions of participant loans

Interest expense

Total Administrative Expenses

$-7,125

	Professional Fees	$0
	Contract Administrator Fees	$0
	Investment Advisory and management fees	$0
	Other Administrative Fees	$-7,125

Net Income

$5,218,892

	Transfers of Assets to this Plan	$0
	Transfers of Assets from this Plan	$0

Asset and Liability Statement

12/31/2016

12/31/2015

Change YOY

Total Assets

$52,652,198

$47,433,306

11.00%

Total noninterest-bearing cash

$171

$436

-60.78%

Receivables

0.0%

Employer Contributions	$0	$0	0.0%
Participant Contributions	$0	$0	0.0%
Other Contributions	$0	$0	0.0%

General Investments

$1,699,178

$2,002,029

-15.13%

Interest-bearing cash

$1,699,178

$2,002,029

-15.13%

U.S. Government Securities

0.0%

Corporate Debt Instruments

0.0%

	Preferred		$0	$0	0.0%
	All Other		$0	$0	0.0%

Corporate Stocks

$1,531,573

$1,282,535

19.42%

	Preferred		$0	$0	0.0%
	Common		$1,531,573	$1,282,535	19.42%

Partnership/joint venture interests

0.0%

Real estate (other than employer real property)

0.0%

Loans (other than to participants)

0.0%

Participants Loans

0.0%

Value of interest in common/collective trusts

$8,047,457

$8,544,723

-5.82%

Value of interest in pooled separate accounts

0.0%

Value of interest in master trust investment accounts

0.0%

Value of interest in 103-12 investment entities

0.0%

Value of interest in registered investment companies

$41,373,819

$35,603,583

16.21%

Value of funds held in insurance co. general account

0.0%

Other Investments

0.0%

Employer-related Investments

0.0%

	Employer Securities		$0	$0	0.0%
	Employer Real Property		$0	$0	0.0%

Buildings and other property used in plan operation

0.0%

Total Liabilities

0.0%

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	$0	0.0%

Net Assets

$52,652,198

$47,433,306

11.00%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

Fidelity Investments Institutional

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
Rbc Wealth Mgmt A Div of Rbc Cap M	Other commissions	Advisor	$0	$67,014	$67,014
Fidelity Investments Institutional	Sub-transfer agency fees, Recordkeeping fees, Account maintenance fees, Securities brokerage commissions and fees	Recordkeeper	$-6,692	$0	$-6,692
Total			$-6,692	$67,014	$60,322

Indirect Compensation

Name	Source of Indirect Compensation*	Nature of Service	Description of Indirect Compensation	Indirect Compensation Paid by Plan
Fidelity Investments Institutional	Nuveen Small Cap Value Class A	Sub-transfer agency fees	0.40%	$0
Fidelity Investments Institutional	Asg Managed Futures Stratey Fund Cl	Sub-transfer agency fees	0.40%	$0
Fidelity Investments Institutional	Oakmark Internatl Small Cap I	Sub-transfer agency fees	0.35%	$0
Fidelity Investments Institutional	Harding Loevner Intl Equity Port In	Sub-transfer agency fees	0.40%	$0
Fidelity Investments Institutional	Harding Loevner Emerg Mrkts Port Ad	Sub-transfer agency fees	0.40%	$0
Fidelity Investments Institutional	Goldman Sachs Mlp Energy Infrstctr	Sub-transfer agency fees	0.40%	$0
Fidelity Investments Institutional	Gateway Fund Class A	Sub-transfer agency fees	0.40%	$0
Fidelity Investments Institutional	Blackrock Interntl Index Fd Cl A	Sub-transfer agency fees	0.30%	$0
Fidelity Investments Institutional	Amg River Road Long Short Class N	Sub-transfer agency fees	0.40%	$0
Fidelity Investments Institutional	Blkrk Intl Opp A - Bny Mellon Inv	Sub-transfer agency fees	0.25%	$0
Fidelity Investments Institutional	Invs Asia Pac Gr A - Invesco Canad	Sub-transfer agency fees	0.35%	$0
Fidelity Investments Institutional	Mfs Intl New Disc R3 - Mfs Service	Sub-transfer agency fees	0.25%	$0
Fidelity Investments Institutional	Mfs Mid Cap Value R3 - Mfs Service	Sub-transfer agency fees	0.25%	$0
Fidelity Investments Institutional	Mfs Value R3 - Mfs Service Center	Sub-transfer agency fees	0.25%	$0
Fidelity Investments Institutional	Pim Total Return A - Boston Financ	Sub-transfer agency fees	0.25%	$0
Fidelity Investments Institutional	Vrs Partners A - Fis Investor Serv	Sub-transfer agency fees	0.25%	$0
Rbc Wealth Mgmt A Div of Rbc Cap M	National Financial Services LLC	Other commissions		$67,014
*As outlined by the Form 5500 Instructions for service providers with indirect compensation.

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

Name of Investment	Investment Manager	Type of Investment	Dollar Value
Fa Stable Value	Fidelity Management Trust Company	DFE: Common/Collective Trust	$8,047,457
Total			$8,047,457

Insurance Information

There are no insurance carriers listed for this plan.

Ainsworth Pet Nutrition, LLC

Ainsworth Pet Nutrition Profit Sharing/401K Plan

Form 5500 Year:

Overview

Plan Information

Participant Information as of 12/31/2016

Expenses

Sponsor Information

Audit Information

Benefits Provided Under the Plan

Questions and Answers

Financials

Income and Expense Statement

Asset and Liability Statement

Service Providers

Persons Receiving Only Eligible Indirect Compensation

Other Service Providers Receiving Direct or Indirect Compensation

Indirect Compensation

Service Providers Who Fail or Refuse to Provide Information

Termination Information on Accountants and Enrolled Actuaries

Investments

Investments

Insurance Information

Insurance Information