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Home My WebLink About20150710UWI to Staff 8.pdf(208) 34&7s00 (208)3ffi9n Ga*) McDevitt & Miller Lr.p Lawyers 420 West Baonock Steet P.O. Box 2564-83701 Boiser ldaho 83702 July lQ 2015 Chas. F. McDevitt DeanJ. $oe) Mifler Celeste K. Miller Yia l{aad Delivety & AS i}Iail JeatJewell, Secreary Idaho Public Utilities Commissioa 472W. \Uflashington St. Boise,Idaho 83720 Rq fIWI-W-tS-Ol Deat Ms.Jeurell: Enclosed f61 filin& please find ao odginal and thtee (3) copies of United Watet I.l"ho's Third Respoose to Commission Saffs First Ptoductioa Request No. 8. Kindly retutn a file st"mFed copy to me Very Tnrly Youts, McDevitt& MllerL[,PM DJM/hh Cq Uaited Watet Idaho, Iac. ORIGINAL Dean J. Miller (lSB No. 1968) McDEVITT & MILLER LLP 420 West Bannock Street P.O. Box 2564-83701 Boise, lD 83702 Tel: 208.343.7500 Fax 208.336.6912 ioe@mcdevitt-m i ller. com Attomey for United Water ldaho lnc. Fil I: [5 BEFORE THE IDAHO PUBLIC UTILITIES COMMISSION IN THE MATTER OF THE APPLICATION I Case No. UW.W-15{1 OF UNITED WATER IDAHO INC. FOR AUTHORIW TO INCREASE ITS RATES I UNITED WATER IDAHO'S THIRD AND CHARGES FOR WATER SERVICE I RESPONSE TO FIRST IN THE STATE OF IDAHO PRODUCTION REQUEST OF THE COMMISSION STAFF United Water ldaho lnc., ("United Watef) by and through its undersigned attorneys, hereby submits its Third Response to the Commission Staffs First Production Request No. 8. DATED this -L\l daY of JulY, 2015. UNITED WATER IDAHO'S THIRD RESPONSE TO FIRST PRODUCTION REQUEST OF THE COi'MISSION STAFF - I UNITED WATER IDAHO INC. Attomey for United Water ldaho lnc. CERTIFICATE OF SERVICE Hand Delivered U.S. Mail Fax Fed. Express Email Hand Delivered U.S. Mail Fax Fed. Express Email Hand Delivered U.S. Mail Fax Fed. Express Email J( .l( {rJ (J { UNITED WATER IDAHO'S THIRD RESPONSE TO FIRST PRODUCTION REQUEST OF THE COMMISSION STAFF.2 I hereby certify that on tne -!$Oay of July, 2015, I caused to be served, via the method(s) indicated below, true and correct copies of the foregoing document, upon: Jean Jewel!, Secretary ldaho Public Utilities Commission 472 West Washington Street P.O. Box 83720 Boise, lD 83720-0074 ijewell@puc. state. id. us Donald L. Howell, ll Daphne Huang Deputy Attorney General ldaho Public Utilities Commission P.O. Box 83720 Boise, ldaho 83720-0074 don. howell@puc. idaho.oov daphne. huanq@puc. idaho.qov Brad M. Purdy Attorney at Law 2019 N. 1lh Street Boise, lD 83702 bmpurdv@hotmail.com UNITED WATER IDAHO INC. cAsE rrwr-w-r5-ot FIRST PRODUCTION REQUEST OF THE COTITISSION STAFF Preparer/Sponsoring Witness: Jarmila Cary REQUEST NO. 8: Please provide copies of the three most recent completed Forms 5500, including the attachments and schedules for all pension plans. RESPONSE NO.8: Please refer to the attaohed Forms. Form5500 DeputrEalolihe Trca$y lntrernal RrYaruo Send6 OMB Nm. t2l0ol10 1210.0089 DopaftnontolLlboa Etrrpbrte B€n€{iB Scorriv Adtrt*{raEon P€rElo0 8€oelil cuil8ov Co.Do?eEE Pirt I A Thls retum/report ls for: B This retu,r/report ls: 200 Hock Road Harrington Park lnformatlon a mulUomployer plan; [l a slnsle-employer plan; a multiple-employer plan; or a DFE (spe<ify)_ NJ 07640 Thls Form ls Open to Publlc 05/L2/7947 2b Employer ldenliftcallon Number(ElN)22-244L477 Sponso/s telephone number(201) 767-9300 Buslness code (see lnslruclions) 221300 I lhe first relum/report; I an amended retum/reporl; I tne nna rotun report; I a shot plan year relum/repo]t (less fhan 12 months). c D exlenslon O NameofplanUnited V{ater Resources Ine. Retirement PIan Plan sponso/s name and address, lndudlng loom or suito number (Employer. ll for slngle-employer plan) United Water Resources Inc. Caullon! A penalty for the late or lncomplete flllng ol thls rsturnrrapon tvlll be aseessed unlese reasonabte cause ls establlshed. Under ponal0es of pe{ury and other penallies set lorth ln the lnstructions, I declare that I have examlned lhls retum/repoil, lnduding accompanying sdredules, statemsnts and atlachmenl$.gs woll as llp eleclronlc verclon ol lhls retum/report, and lo lhe besl of my knorvledge and belief, it ls true, conect, and complete. :Slcl{ HERE -:l:'.-'j..'t.-rj ::SIGN HERE lnBtructlons Form nual ReturnlReport of Employee Thls fo.m ls lequlred lo be filed for employee benent plans under sections 104 and 4065 of the Employeo Rolirement lncome Secudty Act ol 1974 (ERISA) and seclions 6047(e),605(b), and 6058(a) of lhe lnlemal Rerrenuo Code (lhe Code). ) Gomplete all entrles ln accordance ryllh the lnslructlons to lhe Form 5500. Charles T.IIalI L6s T L)otc Fdm 5500 (201t) P4e2 3O -flg1_aUminlstmlor's name and address (if same as plan sponsor, enler'Same') SAME lf the name and/or EIN of lho plan sponsor has changed shce lhe last retum/report 6led for lhls plan, ent€r ths name, EIN and lhe plan number from the last retum/report: Sponsor's name 5 fOal number of partioipants at lhe beglnnlng o, the plan year 6 Number of partldpants as of tho end of the plan year (welfare plans comptete only lines 6a, 6b, 0c, and 0d), EIN PN 4 a Administrato/s EIN Admlnlslrato/s telephone number 2,'10 1,L25 782 583 2, 49O 198 2,699 a b c d e f g Active participan|s,..,.....,......... Retired or separated participants receiving benefi|s...,.,..........,,...,....... Other relired or separated parllclpants enutled to luture bene1it6.....,...... Subtotal. Add lines 0a, 0b. and 6c....... Deceased particlpants wtrose benendari€s are receivlng or are entiued to recelve benefiis...,........ Total. Add lines 6d and 6e.............. Number of partlclpants with aocount balanc€s a$ of lhe end of the plan year (only delined conlribullon plans h Number ol participants that termanated employment du,ing the plan year wilh aocrued benefits lhal wer€ Enter lhe total number of employers obllgaled to conldbuto to lhe plan (only mulliemployer plans complete lhls ltem) ....... lf the plan provldes penslon benelils. enter lhe applicable pension fuature oodes from the Llst of Plan Charactedstic Codes ln lho lnstrudlons: 1A ].G 3H b tf the plan provides welfare benefils, enter the applicabte welfare feafure codes lrom the Llst ot Plan Characterislic Codes ln lhe lnstruc-llms: 9a Plan funding anangemenl(check all lhatappty)9b plan benefi t anangement (ctrec* all that appty) (1) l2t (3) lnsurence Code secilon 412(e)(3) lnsurance contracts Trusi. General assets ofihe sponsor (r) (2) (3) (1) lnsuranco Code eectlon 412(e)(3) lnsurance cont acts Trust General assets ol lhe $ponsor 10 a Check all applicable boxes ln 10a and 10b to lndicate whlch schedules are atlach€d, and, where lndicated, enter lhe number attached. (See lnsuudbns) Ponslon Schedulec (1) E R (Relirement Plan lnformalion) l2t t] MB (Multiemplopr Delined Benelit Plan and cerlaln Money Purc,hase Plan Actuadal lnfomation) - slgned by lhe plan acluary (3) I SB (Single-EmployerDefined Bsnelit PlanAcluadal b General Schedutesn)8 (21 (3) (4) (5) (c) H (Financlal lnfomation) I (Financial lnformallon - Small Plan) _ A (lnsurance lnformallcn) G (Serulce P.ovlder lnforrilalion) D (DFE/Part'ro'pating Plan lnformaton) G (Flnancial Transac'tion Scheclules)lnlormation) - slgned by the ErN 22-2447417 / PN 002 SCHEDULE SB (Form 5500) 0epslmnl ot lhe THsuly lntemal Ravsilo SBM@ D6partmonl ol Labo, Enroloyeo 8ena6t! Sffir.fty Adnlnl!batof, Penslft 86.lelit Guaranty cqroralbo For catendar plan year 201 1 or fiscal plan year beginnlng OMB No. l2t0{1'10 2011 and ending Thls Form ls Open to Publlc lnrp€ctlon 20LL Single-Employer Defined Benefit Plan Actuaria! Information Thls schedule is requlred to be liied undsr sectlon 104 of lhe Employee Relirement lncome Security Act of 1974 (ERISA) and section 6059 of lhe lnt6mal Revenue Code (tho Code). ) Flle as an attachment to Form 5500 or 5500€F. ) Round off amounts to neareat dollar. 1,194 ) Gautlon: A A Narno of plan United Water Resources Inc. Retirement PIan of 91,000 will bo assessed for late of this unless reasonable cause is egtablished, C Plan sponso/s name as shown on line 2a of Fom 55{10 or 5500.SF United 9{ater Resources Inc, E Tlpeof plan: l{ single | | tvtuttiple-R Multid+B F Prioryearplansize:100 or fevrer Partl I Baslclnformatlon 1 Enter the valualion dal6:Month year 2017 3 Funding largeUparticipant count breakdown: a For retlred parlidpants and beneliciaries receivlng b For terminated vosled patllcipants...,.., C For active parlicipants: (l) Non-vosted benefits............, (2) Vested benefits............ lf the plan is in at-risk slatus, check the box and complete llnes (a) and (b).............. a Funding larget disrsgarding prescribed at-risk assumplions........,....,,..,.. b Funding larget renecling at-risk assumptlons, but disregarding lransilion rule for plans that have been in at-risk stalus for t6wer than five consecutive vears and 5 Effectivelnlerestrate SIGN HERE Signature of actuary .foseph N. McDonald D Employer ldentilication Number (ElN) 22-244L477 t0't-500 More lhan Sil) L96,789,133 L82, 644 ,204 L24,452r526 191 417r 550 902,370 521, 659 94,424 r 029 238,294 ,104 6,27 0/o 8, 496,667 Statement by Enrolled Acluary onbloatim, ofier my Dest oslimals of aotldpated oxPoden€ uf,dor lhe plan t0/05/2012 Date 11-06552 Type or pdnl nsme of actuary Hervitt Associates LLC Most r€cent enrollment number (732) s37-7015 FIrm name Telephone number (including area code)400 Atrium Drive 5th Floor Somerset NJ 08873 Address of the firm lf the actuary has not lully rellected any regulatlon or rullng promulgated under lhe stalute in compleUng thls schedule, check tha box and see For Reductlon Schedule SB (Fom 5500) 2011 ETN 22-244L477 / PN 002 Part ll balances 7 Balance at beginning of prior year afler applicablo adjuslments (lino'13 from prior 8 Portion elected for uso to offlol pdot yoar'8 tundlng requlrement (line 35 from 9 Amount 10 lnteresl on line I wlnq prior year'e actual refum of rJ ' oo % I I Prior year's sxcels conlribulions to be added to prefunding balance: d Present value of excess contributions (line 38 from prior year) ........ b tnterest on (a) u3lng prior yea/o eflecllve rate of 6 ' 6 6 % oxcept as olhenvise provided (see instructions)........,....,..,...... c Total avail*le at beginning of qrnent plan )rea. to add to prefunding d Portion of (c) to be added to 12 otler reduclions ln balancos due to eleclions or daemed o1ections.......,.,.,,.......... 13 galance at beginning ofcurrenl I + lin6 10 + line I ld - line 1 Part lll altainment attainment 1 6 Pdor year's fundlng percenlage for puposer of determlnlng whethor carryover/prefunding balances may be used to reduce I 7 lf the cunent value of the assels of tho plan is less lhan 70 percent of lhe lunding larget, enter such percontage.... Part IV I Contributlons and !shortfalls 18 Cmtributions made to lhe plan for tho and employees: (a) Date 04/75/20LL 07 /L5/20LL 08/72/201.1 to/L4/20L7 0]-/13/2072 09/t4/20L2 19 Obcounted employer conlributlons - see instruclions for small plan wilh a valuation date after the beglnning of lhe d Contributions allocatod toward unpaid minimum required contributions from prior years b. Conlribulions made to avoid resl.ictions adjusted to valuation date.....,.......,..,.. C Contributions allocated toward minimum requirad conlribulion for q.rnent year adiusted lo wluaUon date,..,, 20 Quarterly conlribulions and liquidity shortfalls: (c) Amount pald by 387 413 7 6 ,64 o/" 7 6.64 0A 82 .2'1 0/o 981,835 15,327,663 26 14 15 3,106,97 3, L06 r 97 1,019,0 3,106,9 3, 106,9 3,7 48 ,84 L7,L95,72 b ll20a ls'Yeo,'wse roqulred qua.to,ly ln$lallmonts for tho current year made in a timety manner? .,..,.,.... C lr 20a ls'Yes,'see lnslrucuons and complote lhe followlng table as applicable: shorlfall as of end of Schedule SB (Form 5500) 2011 ErN 22-2441477 / PN 002 Page 3 Part V lAssumptlons used to determlne fundlng target and larget norrnat cost retirern€nl 23 ttlortality table(s) (see lnslructons)Subslitute Part Vl lMlscellaneoug ltoms 24 Xas a change been mado ln lho non-presuibed aclua,ial assumptions for lhe cunont plan year? lf 'Yes.' aee lnctn cllon! tegadlng roquired 25 ttas a melhod chango been mado for the curent plan yeaf lf 'Yes,'eee lnslrucllonc regardlng requlred altachmont. 26 ts ttre plan requlred lo provide a Schedule of Aclive Par0cipants? Il'Yes,' see lnglructions togarding required attachment. 27 tt Us plan is eligible for (and ls uslng) altemalive funding rules, enter applic€ble code and see instruciions attachment....... Part Vll IReconclllatlon of ld mlnlmum contrlbutlons tor 28 Unpaid minimum contribuUons for all pdor years,,. 29 Discountad emptoyer contributions allocated loward unpald minimum requked conlributions from prior years 30 Remalnlng amounl of unpaid minimum required conlributions {ino 28 mlnus llno 29).......,.....,..,,.,., Part Vlll lMlnlmum lred contributlon for current normal cost and excess assots (seo inslructions): 2l Discount rate: I Segmont rates: a Target normal cost (line 6)..., b Excess assets, lf appllcablo, bul not lhan 31a 32 Amortizetion lnslallments: a Net shortfall amoilization installm€nt........ b walver amoilization insla|Iment.,..........,,.......,. 33 tt a waiver has been approved for this plan year, enter the dalo of the ruling letter g.anting the approval(Month- Day- Year-) andthewaivedamounl..,..,.... 34 foU funding requirement before reflecthg caryover/prefunding balancos (linos 31a - 31b + 32a + 32b - 35 Ealancos elecled for use to offset fundlng requlrement ..... 36 Additional cash 34 minus llno 37 ContriUuttons allocaled toward minimum required contribution for cunent year adjustod to valualion date 38 Present value of oxcess cont.ibutions for cunenl I nn, run yield curve used g, 496, 561 lnstallment 6,924 , 625 L5,321,292 Total balance L5,32L,292 75 ,32L, 663 371 0 0 0 64 it anv. of llne 37 over linea Tolal (excoss, it anyjpllneg over line 31 b Ponion included in line 38a attributable to and fundins slandard 39 40 minimum contribulion for curront if any, of line 36 over line mlntmum contribulions for all Part lX I Penslon fundlng rellef under Penslon Rellef Act of 2010 (see lnstrirctlons) a Schsdule elected .,.......... b Etigible ptan for whlch thg election in lino 41a was made ..,............ 55, 649, 41 tt a 6hortfall amortization base is bsing amorlized pursuant to an allemaliw amortizatlon schodule: 43 gxcess lnslaltmont accelor€lion amount to bo caniod over to fuluro plan yearo.,,,.,,.,'. Service Provider lnformation This schedule ls requhed to be filed under secllon 104 of lhe Employee Retirement lncome Secudty Act of 1974 (ERISA). ) Flle as an attachmonl to Form 5500. SCHEDULE C (Form 5500) Depadngrl ol lhe TrGasu.ylotmd Rcvenue Seflho OMBNo. 1210{)110 2011 Thls Form ls Open to Publlc lnEpectlon.PffibnBmit For calendar 20l l or liscal A Name of plan United Water Resources Inc. Retirement Plan G Plan sponsor's name as ehown on llne 2a ol Form 5500 Employer ldenlilicaUon Number (ElN) 22-244t477 United I'later Resources Inc. ,Pirt !Provlder lnformatlon You must complete thls Parl, in accordance wllh the lnslruclions, to repoil lhe lnformation requlred for each person who received, dkectly or indirectly, $5,000 or more in tolal compensation (i.e., money oranylhing else ol monetaryvalue) ln connection with servlces rendered to the plan or lhe person's position with lhe plan during the plan year lf a person received only eliglble lndirect compensation for whldr lhe plan recelved the requhed dlsdosures, you are requlred to ansrver line I but are not required to lndude lhat person when completing lhe remalnder of thls Pad. I lnformatlon on Persons Recelvlng Only Ellglhle lndlrcct Gompensatlon ? Check Yesl or'No' to lndlcale whelher you are excluding a person ftom lhe remainder of lhls Part because lhey recelved only eligible lndlrectcompensationforw}rlchlheplanrecelvedtherequ|reddisdosures(seelnstructIonsfordelinllionsandconditions) b lf you ansrvored line 1a 'Yes,' enler the namo and EIN or address of each person providlng the requked discloaures for lhe servlco provlders who recoiyed only eliglble lndirect compensalion. Completo as many entries as needed (see lnslruclions). (b) enrcr name and EIN or address of porson who provided you disclosures on etigible lndirect compensation (b) enter name and EIN or address of person who provided you disclosure on eligible lndkect compensation (b) Snter namo and EIN or address ol person who provlded you dlsclosures on eligible indlrect compensalion (b) enter name and EIN or address of person who provided you disdosures on eliglble lndlrect compensalion For Papenivork Reducllon Act Notloe and oilB Conlrol Numbers, see lhe lnetruclions for Form 5500 Schedule C {Form 5500) 2011 v.0126fi Schedule C (Form 5500) 2011 page 2.J-l (b) enter name and EIN or address of person who provlded you dlsdosures on eliglblo lndirect compensation (b) enter name and EIN or address of percon who provided you disdosures on ellglble lndirect mrnpensafon (b) enrcr name and EIN or address of person who provided you disclosures on ellglble lndirect compensallon (b; Enter name and EIN or address of person who Fovided you disclosures on eligiblo indirect compensalion (b) enter name and EIN or addross of person who provlded you disclosures on eligible lndkecl compensalion (b) enter name and EIN o, address ol psrson who provlded you disclosures on etiglble indirect compensalion (b) enter name and EIN or addr€ss of person who provlded you disclosures on eligibte lndirect oompensalion (b) enter name and EIN or address ol person who provided you dlsclosures on eliglble lndkect compensation Schedule C (Fom 5500) 2011 Page 3 2. lnformatlon on Other Servlce Provlders Recelvlng Dlrect or lndlrect Compensatlon. Excoplfor lhoso persons for whom yor ansuoled lps' lo llne la abovq complele as many enldes as needed to llsl each person recelvlng, dlr€clly or lndlroclly. $.5,000 or mor€ ln lolal compensa$on (,e., money or any'hlng elsa of value) ln onneclhn wllh servlces rordered lo lhe plan or lhelr posltion with lhe plan dudng lhe plan par. (See lnslrucflons). (a) enter name and EIN or address (see lrslructions) Diversified Investment Advisors 06- 60334 92 (b)servtoe Code(s) 21 s0 Rela0onshlp lo employ€r, employee ogankaton, or person knotn lo bo a party-l+lnieresl (d) Enter dirsct cornpensalbn pald ry the plan. lf none enler -0-. (e) Dl<l seMce povlder recalvt lndil€cl compensaton? (sourcas other ltun flan or plan sponsor) (0 Dld lndirecl compensalion lncludo eligibls lndlrect compensalion, for wHdr the plan recehrcd lh6 requir€d tllsdosules? (g) Enter total lndirect compensadm recelved by servlce provlder excluding eligibl6 lndirect rcrnpensaton for whlch pt answered Yes' to element (f). lf rcne, enler-0-. Dld the servlce novlder glve yor a fomula lnstead of an amotnt or lslimated amounO None L62,52:vesfi No$vesfi No[vesfl Ho[ Entername and EIN or address (see lnslrucllons) Aon Consulting 22-222t888 (blservtce Code(s) 1-1 50 Relalionshlp to employer, emp@ee oryanhaUon, or person knorvn to be a partyJrrlnlerest compensaUon pald the plan. lf enter.0.. Dld servlce provUer recol,re lndlrecl cornpensaUon? (sourc6s olher lhan plan or plan sponsor) Dld lndhed compensatlon lndude eligible lndirect compensatbn, for wNcb tlre plan recelwd lhe required dlsdosurqs? (g) Ent6r total lndlroct compensallon received by seMce provlder excludlng eliglble lndlract arswered Yes' to olemont (0. lf none, enler -0-. 7lo, o'l Dld lhe seMce provlder give yar a lomula lnstead ol an amounl or amount? (a) fnmrmme and EIN or addmss (see lnshucUons) Applied Portfolio Management, fnc. 22-2349725 (blseMce Cod(s) 28 sO recei'ro lndirect cmrpensaton? (sources othsr lhan plen or plan sponeor) cornponsaton pald th6 plan. lf enler-0-. Dld lndlrsd compensation lnctude eliglble lndlrcct compersatoq for whlch lhe plan recelved lhe tequi,€d dlsdosur€s? Enter lotal lndlrect compensatm recetved by servlce pladder exdutllng ellglblo Indlr6ct answ€rsd Yss' to elom€nl(0. tfnone, enter.0-. 7O,64 Ro,aUonshlp to ernp{oy6r, ernployee organlzaton, or peson known to be a party-lnlnteresl OId lhe sorvlco rovlder glve yan a fomula lnstead of an amotnl or None amount? Schedule C (Form 5500) 201 I Page 3 2. lnformatlon on Other Servtce Provlders Recelvlng Dlrecl or lndlrect Compenaatlon. E\copt br lhose persons for wtrom yo.r ansrrred 'yos' to llne la above, complete as many entdes as needed to llst each person recelvlng, dlrectly or lndlreclly, $5,ofl) or more ln lotal compensallon (1.e., money or anylhlng else of value) ln connecilon wllh servlces rendered to the plan or lhelr posltion wllh the plan during he plan year. (Sae lnslrucHons). (a) enter name and EIN or addross (eee lrslruclions) Tleisermazars LtrP 06-r_18 9808 (b)Servtce Code(s) 10 50 Relallonshlp lo employer, employee organlzellon, or person knoi,n to be a pariy-ln-lnleresl (d) Enlor dlrecl compersallan pald Dld seMco provld€r remlve lndirect cornpensalion? (sources other than plen or plan sponsor) (0 Dld lndlrect ompensallon lnclude ellglble lndlrect compensaUon, for Whldr lhe plen recelved lhe requlrcd dlsdosures? Entor lolal lndir€ct compensallon recelved by seMce prordder excludlng ellglble lndlrect answered Yes' to element (f). lf mne, enter -0-. 44,24 (h) Dld lhe seMce provlder give yor a fomula lnslead of en amount or arnount? vesfl ruofi Enler name end EIN or address (see lnstruclions) Seyfarth Shaw LLP 36-2L52202 (b) Servtoe Code(s) 29 50 Enlerdlrecl compersaUon pald lhe plan. lf enter -0-. Dld s€Mco proYlder recelve lndlrecl compensaUon? (sources olhor lhan dan or plan eponmr) Dld lndlrect componsailon lncludo eligible lndkecl cornpercallon, for wt{ctr lhe plan recelved lhe requlred dlsdosures? Enter lotal lndlrect compensaton recelved by seMce provlder exdudftp ellgible lndlrect ansrvorcd Yes' to elemenl (f). ll mne. enter -0-. 11r 07 (c) ReleUonshlp lo employer, employee organlzallon. or Pason kno,tm to be a paily-tnlntercst DH he 6€Mco xovlder glve you a fomula lrclead oI en amount or emoun(l ves I r,ro I (a) enter name end EIN or address (see lnslructhns) (b) Servtce Gode(s) Relaliorshlp to employer, employeo orgonlzalion, or person knorvn to be a party-lnlnlerest (d) Ed6rdirecl compercalion pald rytheplan tfmne snler -0-. (e) Dld servlceprovlder recelve lndlroct cornpensauon? (sourcrs olher lhan plen or plan sponsor) (D Dld lndlrec* ompensatlon lnclude efu lble Indlrect cornpenseton, for whldr he plan recelved lhe requlrc<l dlsdosutes? (s) Enter total lndlroct cornpensa[on recelved by servlco provlder exdudlng ellglble lndlrect wnpensatlon for wt{ch you answercd Yag'to element(0. lf none, enter.O-. Dld tho seMc6 provlder gtue you a formule lmtead of an emount or rsllmatad amount? ves[ ruofi ves I r.ro I ves I r.ro I Schedule G (Fonn 5500) 2011 Part L Provlder lnformallon 3 tf you reporlsd on line 2 eceipt of lndirecl @mpensatlon, olher lhan ellglble Indirect compensalion, by a seMce provlder, and the service provlder ls a llduclary or provldes conlract sdmlnlstralor, consulllng, custodial, lnveslment advlsory, lnvesfnent management, broker, or recordkeeplng seMces, answer the following queslbns for (a) each source from rvtrom lhe oervice provlder received $1,000 or more ln lndirect compensallon and (b) each source for Mrom lhe seMce provider gave you a formula used to detemlns tho lndiroct compensatlon Inslead of an amount or eslimatod amount of lhe lndarect compensation. Cornplete as many enbies as needed lo report lhe required lnformalion for each sourca. (a) Enter seruice prcvider name as it appears on line 2 (c) Enter amount of lndirect (d) enter name and EIN (addrcss) of source of lndlrect compensation (e) Describe the lndirect compensallon, lncluding any forrnula used lo determine the seruice provider's sligibility for or the amount of lhe lndired compensalion. (a) enter seMce provider name as Il appears on tine 2 (c) Enter amount of lndirect cornpen$allon (d) Enter name and EIN (address) of source of lndirect compensalion (e) Dasoibe the lndirect compensalion, including any formula used to dotormine the servlca provade/s eliglbllity for or the amounlof the lndirect compensadon. (a) Enter service provlder name as ll appears on line 2 (c) Enleramount of indirect compensallon (d) enter name and EIN (address) of sourc€ of indirect compensalion (e) Descrlbe the lndirect compenoation. induding any fomula used lo dstermlne the seMco provide/s eligibllity lor or tho amount of the lndlrect compensallon. (b) service cooes (see lnslructions) Schedule G (Form 5500) 2011 4 Provlde, lo the extent posslbte, tho following informalion for each service provider who failed or refused to provide the lnformallon necassary to complste Enter nanre and EIN or address of sorvice provlder (see lnslruclions) Enter name and EIN or address of sewice provlder (see lnslruclions) (a) Enter name and EIN or address of service provlder (see lnstructions) Enter name and EIN or address ol seMce provlder (see instruclions) (a) fnter narna and EIN or address of seMce provlder (see lnslnrctions) Entor name and EIN or address of soMco pmvlder (see lnslruciions) (C) DescriUo me lnfomalion lhat lhe seMco provider failed or refused lo proMde Descdbo the lnformalion lhal lhe seMce provider lailed or relused lo proride Describe lhe lnformation that lhe sewice provlder failed or refused to provlde Descrlbe lhe lnformation lhat lhe service provider lailed or refussd lo provide (C) OescfUe Ue lnformallon that the service provlder lalled or refused lo provlde Describo tho lnformation that the seMce provlder lailed or rcfused to provide Schedule C (Form 5500) 2011 Fart lll:,1 Termlnatton lnformatlon on Accounlants and Enrolled Actuarles (see lnstructlons) as manv onlrles as a Name: uav b EtN: z2- C position- E;nro d Address:301 Route 17 North Rutherford Exolanation:triternal change from David Degann to ,foe McDonald. N.r 07070-2575 Explanation: Explanalion: Explanalion: ExplanaUon: SCHEDULE D (Form 5500) Ocp&lflEll ol ho TmerurylntffilRffi86dlca Deportmenl ol Labfl EnlPbreo BenefE Scqtfly edrd.{slrado.t A Name of plan United I'later Resources fnc. Retirement PIan G ptan or DFE sponsor's name as shown on line 2a of Form 5500 United l{ater Resources Inc. on 8, as as needed to all lnterests ln OMB No. l2l00ll0 2011 Thls Form lB Open to Publlc lnspectlon, D Employer ldentincatun Numb€r (ElN) 22-2441477 b Name of sponsor of entily listed ln (a): Dive rsi f ied Inve stment Advi sors c EIN-PN 13-368904 a Nameot MTIA, CCT, PSA, or 1O3-12 lE: b Nann of sponsor of enlity listed ln (a): c EIN-PN I *ou I 12 lE at end of year (see rnsrrucrions) a Na.ne of MTIA, CCT, PSA. or 103-12 lE: DFElParticipating Plan lnformation Thls sdredule ls requlred to be tiled under section 104 of lhe Employee Rethement lncome Seardty Act of 1974 (ERISA). ) Flle as an attachment to Form 55{10. I NameolMTIA,CCT.PSA,or10$12lE:Common Collective Trust Eund b Name ot sponsor of entity listed ln (a): Dollar value of lnterest ln MTIA, CCT, PSA, or 10$ a Name of MTIA, CCT. PSA, or 103-12 lE: b Name of spoflsor of onlity listed ln (a): Dollar value of lnteest ln MTIA, CCT. PSA, or 10& 12 IE st end of O Nameol MTIA, CCT. PSA, or 103-'12 lE: b Name of sponsor of entity listod In (a): Dollar value ot lnlerest ln MTIA, CCT, PSA, or 103. O Name of MTIA, CCT. PSA. or 103-12 lE: b Name of sponsor ol entity listed ln (a): Dollar value ol lnhrest ln MTIA, CCT, PSA. or 10& 3 Name ol MTIA. CCT, PSA, or 10&12 lE: b Name of sponsor of entity listed in (a): Dollar value of lnterest ln MTIA mT, PSA, or 10& Schedulo D (Form 5500) 20tl a Name of MTIA, CCT. PSA, or 103-12 lE: b Name of sponsor of enlity listed ln (a): Dollarvalue of lnterest ln MnA, CCT, PSA or 10S, a Name of MTIA, CCT, PSA, or 103-12 lE: b Name of sponsor of enlity lisled in (a): C EIN.PN I code I 12 lE at end ofYo a Nams of MTIA, CCT, PSA, ort03-12 lE: b Name ol sponsor of enlity llsted ln (a): c EIN'PN t code I 12lE at end of vear (see lnslruclions) a Namo of MTIA, CCT. PSA, or 103-12 lE: b Name of sponso, ot enuty lisled in (a): C EIN.PN I ffile I t2 lF nl md nf vRer lsnE lnslflrnlimsl a Name of MTIA, CCT, PSA. or 103-12 lE: b Name of sponsor of enlily listed in (a): G EIN.PN I coAe I fZ te at end of voar (s6e lnstructionsl ? Name of MTIA, CCT, PSA, or 103-12 lE: b Name of sponsor of enUty listed in (a): Dollar value of Inlerest ln MTIA. CCT. PSA, or 10$ a Name of MTIA, CCT, PSA, or 103-'12 lE: b Name ol sponsor of entity listed ln (a): Dollarvalue ol lnterest ln MTIA, CCT, PSA, or 10$ ? Name of MTIA, CCT, PSA, or 103-'12 lE: b Name of sponsor of enlig listed ln (a): Dollar value of lnterost ln MTIA. CCT, PSA. or 101 a Name ot MTIA, CCT, PSA, or 1Gl-12|E: b Namo ol sponsor ol entity listed ln (a): C EIN.PN I code | 12 lE at snd ofvear (see lnslruclions) a Name o, MTIA, CCT, PSA, or 103-12 lE: b Name of sponsor of enlity listed ln (a): C EIN.PN ScheduleD(Forrns500)20l1 ... Pase3'l-l Plans O Plan name b Namo ol I c etN-eru Inlen snonsor a Plan name Nsno of plan sponsor C EIN.PN a Plan nam6 b Namo of I c etru-PNIplan sponsor I a Plan name b Name of I c en-eru IplalsPglsor , ,, ,,,,,,, ,: : - ,, a Plan narne Name of C EIN.PN plan a Plan name bNameol lcelu-PttIplan sponsor I a Plan narne Name of C EIN.PN a PIan name b Name of C EIN.PN I Plan namo Name of G EIN-PN plan a PIan nam€ b Name of I c etu'Pt'tIplan sponsor I O Plan name bNameof lcetN-eru plan sponsor I a Plan namo Name of plan sponsor C EIN.PN SCHEDULE H (Form 6500) Oegadrnent of t r€ TEanIrylnlqEl Revearuo Servlca OMB No. l2l0{ll0 2011 Ihpsirrentoa LEbor EnrIolH 8cnsfi ts Seturftv Adrf nistratlct fhb Fotm la Open to Publlc Ptrslof, 84elit Co.po.alirn A Narne of plan United l'flater Resourees Inc. Retirement Plan Plan sponsor's namo as shoyrn on line 2a of Fotm 5500 Employer ldenllflcallon Number (ElN) 22-244\477United Water Resources fnc. Asset and Lla I Cunent valuo ol plan assets and liabllities at lho beginnlng and end of lhe plan year. Comblne the value ol plan assels held ln more lhan one lrust. Reporl the value ol the plan's lnterest ln a commlngled fund conlalnlng lho assets of more than one plan on a line-by-line basls unless lhe value ls reportable on lines 1c(9) through 1c(14). Do nol enter the value ol lhat portlon ol an lnsutance conlract whlch guarantees, dudng thls plan year. to pay a spedflc dollar benefitatafuluredale.Roundoflamounlstothenearestdollaa MTlAs,CGTs,PSAs,andl0S-12 lEsdonotcompletelineslb(l), 1b(2). 1c(8), 19, 1h, and'li,and 103-12 lEs Total noninlerest-bearing cash ............,.,..,..,... Receivables (less allowance for doubllul accounts): (l ) Employer contribulions........6, 855, 910 (2) Participant conldbutlons ....... G Generallnvestrnents: (1) lnterest-bearing cash (indude money market accounls & cerlilicates oldeposit) (2) U.S. Goremment secudiies................. (3) Gorporale debt instruments (olher lhan employer sectdlies): (A) Prefened.. (B) All other.... (4) Coporate stocks (olher than employersecudtles): (A) Prefened.. (B) Comrnon (5) Pannershlp{olnt venlure lnteresls .................... (6) Real eslate (other lhan employer real propefl.......... (7) Loans (other than to participants)....... (8) Part:clpant loans ................ (0) Value of lnterest ln common/collective trusts..,...,....,.... (10) Value of interest ln pooled separate ac@unts..,.....,, (11) Value of interest ln masier trusl lnvesimsnt accounts ............................ (12) Value of lnterest ln 103-12 lnvestrnent en1ilies....................... (13) Value of interesl ln registered lnvesiflEnt companles (e.9., mutual lunds)............... (14) Value of funds held in lnsu.ance company gene,al account (unallocated conlracts)......... (15) Olher........ 11r 582r 014 168,081,657 18, 93s, 08 6 Financial lnformation Thls schedule is required lo be filed under seclion 104 of the Employee Rellrement Income Secudly Act o, 1974 (ERISA), and sectlon 6058(a) of lhe lntemal Revenue Code (lhe Code). ' ) Flle as an attachmenl to Form 5500. For Paperwork Reductlon Act Notlco and OMB Control lfumbers, soo lhe lnsfuctaons for Form 5500 Schodul€ H (Form 5500) 2011 v.0l25ll Schedule H (Form 5500) 20ll Page2 1d Employer-related lnveslrnents: (1) Ernployer securilies ............. (2) Employor real property ....... Buildings and olher property used ln plan oporation Tolal assets (add all anpunls ln lines 1a throqh 1o)...... Llabllltles Benefi t daims payable............ Operating payables............... Acqulsllion lndebtedness Olher liabllilles. Tolal llablliUes (add all amounts ln Net Assets I Nel assets (subuac,t llno'lk from llne 10..................... lncome and Statement 2 plan lnoome, expenses, and changes ln net assets lor lhe year. lndude all lncome and expenses of lho plan, lncluding any trust(s) or separately malnlalned fund(s) and any paymenls/receipls to/from lnsurance carriers. Round off amounls to tho nearestdollar. MTlAs, CGTs, PSAs, and 103-12 IEs do not complete lines 2a, 2b(1XE). 2e. 23. and 2s. lncome a Contrlbutlons: (1) Recelved or rocdwble in cash from: (A) Employers........ (B) Parlic-lpants (C) Olhers (lnc'luding rollovers) (2) Noncash conlribulims (3) Tolal contdbuUons. Add lines 2a(l)(A), (B), (C), and line 2a(2).. Earnlngs on lnvestments: (l) lnterest: (A) lnter€st-boarlng cash (ln€{uding money market accounts and certlfi cales ol deposlt)................ (B) U.S. Govemment securilles............. (C) Corporate debt lnslrumenls (D) Loans (olherthan to parllcipants). (Ef Parllclpant loans.... (G) Total interesl. Add lines 2b(1 XA) through (F).................-...,.......... (2) Divldends: (A) Pretened stock...................,. (B) common stock.................. (G! Registered lnvesUnenl company sharos (e.9. mulual funds)......... (D) Total dMdonds. Add lines 2b(2XA). (B). and (c) (3) Rents.......,. (4) Net galn (loss) on sale of assots: (A) Aggregale proceeds... (B) Aggregate canying amor nt (see lnstuctions) ..........,.......... (C) Sublract line 2b(4)(B) from line 2b(4XA) and enler resu|t................ o I q h I I k (a'l Amount Total 2a(1XA)17, 195, 850 2a(l)(B) 2alt)lc) 2alzl 2a(3)17r 195,850 2b(rxA) 2b(rxB) 2b(rNc) 2btl)(o) 2b(rIE) 2b{lxF) 2b{1Xc)0 2b(2X4 ,,:,,. 2b(zXB) 2b(2)(c) 2b(2)(D)0 2b(s) 2b(.lXA) 2b(4XB) 2b(4XG)0 {al Beoinnlno ol Year End of Year rd(r, rd(2) 1e tf 196,965,853 2O5, 454 r 5'17 1g 'th ll 1l 393,87 9 539,850 tk 393,87 9 539, 850 204 t 974,'127 Schedule H (Fom 5500) 2011 Pase 3 2b 1S; UnreatizeO appredaton (depredaBon)of assets: (A) Real estate (B) Othor....... (C) Total unreatized appredaUon ofassets. Add lines 2b(5)(A) and (81.............. (6) Net lnvestment galn (loss) torn common colleclive trusis....... (7) Nel lnvestment gain (loss) lrom poolod s€parat€ accounts.......... (8) Net lnvestmentgaln (loss) from master trusl Invoslm€nt accounts .....,...... (9) Net lnvestmenl galn (loss) from 103-12 lnvestment onlilies......... (10) Net lnveslrnent gain (loss) from registered lnvestment companles (eg., mulual funds).-.........^,..... C Olher incomo..,...,.......,........ d Tolallncome.Addalltncomoamounblncolumn(b)anden1ertota|....,...,.,...,.,...., Expenses € Benefit payment and payments to provide benelits: (l) Directly to padiclpants or benefidaries, lnduding dkect rollovers .............. (2) To lnsurance carriers lor the provlslon of beneiits.................. (3) O|her......... (4) Tolal benefit payments. Add linos 2o(l) lhrough (31..................... CorracUve dlstribulions (see inslruclions).. Cerlaln deemed distributions of parlidpanl lmns (see insfuuctions)........,..,..,.. lnterest expense Adminlsltalive expenses: (1) Professlonal fees.,.......-.,...... (2) Contract admlnislratorfees (3) lnvestment advisory and managornenl le6s .......,............. (4) Oulor,........ (5) Total admlnlslralive expensos, Add lines zl(t) through (4) Tolal expenses, Add all expensg amounts ln column (b) and entor totat......... Net lncome and R€conclllatlon I( I Nel lncome (loss). Subtracl line 2J from line Accountant's 3 Complete lines 3a ttrrough 3c lf the oplnlon of an lndependent qualilied public accountant ls attached lo thls Fom 5500. Complete llne 3d lf an oplnlon ls not allached. (l)l I Unqualilied (2)l I Auafified (3)Fl oisdairnor (4)l I Mverse b OIO ttre accountant perform a limited scope audit pursuant to 29 CFR 252).103-8 anrl/or f g h I d The oplnion ol an independent qualifled public accountant is not allached because: (f ) [ rtris form ls filed for a CCT, PSA, or MTIA. (2) [ ll will be atlached to tho nexl Form 5500 pursuanl to 29 CFR 2520.10{-50. 2e(l)13, 159, 000 2e(21 2e(3) 2e(4)13, 159, 000 2t 2g 2h 2(r)927 ,916 2il2l 2il3)7O,648 2i{4)535,919 2(5)t, 534 ,382 2l 14, 693 | 382 342,143 a The attafiod opinion ol an lndependent qualifted public acconntanl for thls plan ls (see lnslruclims): Schedule H (Form 5500) 20ll Page4-n Queetlons CCTS and PSAs do not complete Part lV. MTlAs, 103-12 lEs, and GIA$ do not complete 44,4e,4t,49,4h.4k, 4m,4n, or 5. 103-12 lEs also do not complele 4l and 41. MTIAs also do not oonploto 41. During lhe plan year: a Was there a failure to transmit to the plan any padiclpanl contributions within fte time per{od described in 29 CFR 2510.3.102? Continue lo ansver't,es'for any prior year failures unlil fully conecled. (See lnslructlons and DOL's Volunlary Fldudary Conectlon Program.).... Yes No Amount 4a x b Were arry loans by lhe plan orfixed lncome obligallons due lh€ plan ln default as of tho dose of the plan year or classilied during lhe year as uncolleclible? Dlsregard participant loans secured by participanfs account balanca, (Attach Schedule G (Form 5500) Pad I if Yos' ls checked,).......-.4b x C Wero any leases to whlch the plan was a party ln delault or classilied during the year as uncollectible? (Attadr Schedulo G (Form 5500) Part ll lf 'Yes' ls ch€cked.) ............4c x d Were lhoro any nonexempl lransactions wilh any party-ln-lntorest? (Do not Include bansactions report€d on line4a. Attach Schedule G (Form 55m) Pafl lll lrYss'ls checlted.)........,.4d x O Was thls plan covered by a lidelip bond?4e x 2r 000r 000 f OiO lhe plan have a loss, whether or not roimbursod by lhe plan's fidellty bond, lhat was causod by fiaud or dishonesty?4f x g DId tho plan hold any assels whoso current value was nsllher readlly determlnable on an gstabllshed market nor sel by an lndependent lhlrd party appralser?4q x h Ud tho plan receive any noncash contributions whose value was nolther readily delormlnable on an eslablished mailet nor set by an lndependent thkd party appraiser? ......... I OiO lhe plan have assels hetd for lnvestmenl? (Attach schedule(s) ol assets if'Yes'ls checkod, and seo lnslruclions for formal requlrermnts.).................. 4h x 4l W€re any plan transactions or series of lransacb'ons ln ex@$o of 5% of the cunent valuo of plan assets? (Atlach scheduls of transactions if'Yes' is checked, and soe lnstruclions for Iomat requlrements.).......... J at x k Were all the plan assots elther distributed to parliclpanls or beneliclaries, transfened to another plan, or brought uoder lho control of lhe PBGC?.4k x I Has lhe plan lailed to provlde any benefil when duo under the plan?...............4l x m lf lhis ls an lndMdual account plan, was there a blackoul period? (See instructions and 29 CFR 2520.101-3.)....{m lf 4m was ansrvered Yos,' clreck the 'fes' box il you eilher prou?ed ths roquired noflce or one of lhe exceptions to provldlng the noUce applled under 29 CFR 2520.101-3. n 4n 5a Has a resofulim lo temlnate lhe plan been adopted dudng lhe plan yoar or any pdor plan yeafl lf '/es,'enterlheamounlof anyplan asselsUralrovertedtotheemplqrerlhlsyear......,....,............... U Yes [lNo Amount: 5b lf, durlng thls plan year, any asset$ or llabllities were transferrod lrom thls ptan to anolher plan(s), ldenlity lhe plan(s) to which assols or llabllities \flere Iransferred. (See lnslructions.) 5b(l) Name ol plan(s) SGHEDULE R (Form 5500) t opa.lrilol 0a lha Treasrrylntffn|l Rgmu! Ssrvl@ OMBNo. l2r0{ll0 2011 Dopsfimcnl ol Lcbo,Enpbyr Sqslib Ssr.fty Adtrinklr.dof,Thls Form lE Opon lo Publlc lnspeotlon. For calendar 201 I or fiscal A Name of plan United }Iater Resources Inc. Retirement Plan G Plan sponsor's name as shown on line 2a of Form 5500 United Water Resources fnc. Pirt t :,1 Dlstrtbuttons All raferoncos to dletrlbutlons relale only to payments of bonotlts durlng lhe plan year, I fAat value of distributions paid ln property other lhan In cash or lhe forms ol property specified in the lnstrudions...,.. 2 Enter the EIN(s) ol payor(s) who pald benafits on behall of the plan to padicipants or benefc,laries during lhe year (if more than two, enter ElNs ot lhe two payors who pald lhe greatest dollar amounls of benefits): EIN(s): 3 Number of padiclpants (living or deceased) whose benefils were dislrlbuied ln a slngle sum, during the plan Pertlf Fundlng Jnformatlon (lf the plan is not subJect to the minimum funding requirements of section of 412 of tho lnlemat Revenue Code or ER|SAsecUon lhls 4 ls the flan adrnlnlsrator makirp an elecllcn under Code sedlon 412(d[2) or ERISA sedrbn 302(d)(2P....... lf the plan ls a deflned benellt plan, go to llne 8. Yes No 5 lf a walver of lhe mlnlmum funding standard for a pdor year ls being amorlized in lhls plan year, see lnstructions and enter lhe date of the ruling letter grantlng the walvel. Date: Month _ Day _ Yoar lI you completed llna 5, complete llnes 3, 9, and 10 ol Schedule MB and do not complete tha remalndor 6 a Enter lhe minlmum requlred conlribution for this plao year finclude any prior year accurnulated funding Enter lhe amount contdbuted by the employor to the plan for this plan year Sublract lhe anrounl ln line 6b from lhe amount in line 6a. Enler lhe result (enter a minus slgn to lhe lelt of a negative amount)..................... lf you completed llne 6c, sklp llnes 8 and 9. 7 Will the mlnlmum fundlng anrcunt repoded on line 6c be met by lhe funding deadline?fl v"s Ino I llra o02 D Employer ldenlilicalion Number (ElN) 22-2A41477 b G Retirement Plan lnformation Thls schedule ls required to b6 liled under sedlon 104 and 4065 of the Employee Retirement lnmme Secudty Acl of 1974 (ERISA) and sectlon 6058(a) of the lntornal Revenue Codo (lhe Code). ) Flle as an atiachmontto Form 5500. B Threedigit plan numbor(PN) } Protlttharlng plans, ESOPs, and siock bonus plans, sklp llne 3, 8 tl a change ln acluarlal cosi method was made for lhis ptan year pursuaol lo a revenuo procedure or olher aulhority provldlng automatic approval for the change or a dass ruting letler, does the plan sponsor or plan fl v""Ino Iue ,Fa'rl lll.,,l Amendments 9 lf lhle ls a definod benent ponslon plan, were any amendnents adopted during ttrls plan yearlhatlncreasedordecreasedlhevalueof bene,its?lfyes.checklheappropdate r- - F 6ox. lfno,checklhe'No'box..... l! lncrease ll Decrease ll Both (see lnslruciions). lf thls ls not a dan descnted under Section 409(a) or 4975(e[7) of lhe lntemal Revenue Code, thls Pail. t0 11 Were unallocated securities or from the sals of unallocstad securilias used lo loan?,............. b lf ttre ESOP has an outstanding oxempt loan with the emplqrer as lender, is suctr loan parl of a 'back-tobacf ban? lnslruc[ons for definllion of 'back-lo-back' 12 Ooes lha ESOP hold anv stock that ls not tradable on an established secudties market?..,.........,...,...,. Nol No NoYes No No uYeBl Schedule R (Form 5500) 201'l v.0r2611 For PapenYork Roducllon Act and OMB Conlrol Numbsre, see the lnatrucllons for Form 6500. Schedule R (Fom 5500) 2011 l3 Enter the lolloving lnformation for oach employer that conttibuted mote than 5% of total contributbns to the plan du.ing lhe plan year (measured in _, . dollars). Seolnstructbns. @mpleteasmanyenlnbsasaeededloreportellapplrcab/eemployers. .. _I Name of conlributng employer b EIN C Ddlar amount contribuled by employer e Cmtribulion rate lnformatio n (tt trcrc than one 'tr,te applias, clreck llris oox I aad see ,r,struclion s regantiu requtt(d attachment. Othomise, complete itens 13e(1) and 130(2))(1) Gontdbufion rate (ln dollars and conts) ne?syreill r|9,,tv , [1 lv,e,ekrX -Tf ynitgli,?oy.liol l-l ol,u,("?e.iryli , , (2) Baso unil n d Oate colleclive bargaining agreemenl explrls (!t emphyer oontibutes under morc than one cotleclive bargalnlng ogrcement, cteck box[ andseelns!rucliasresatdinopoulmdalladment. Olienvise ontortheappllaD/odale.) Month Day Year a Namo of contrlbuling employer b etru G Ddlar amount conlfibuted by employer d Date mtfective bargaining agreemenl expl rcs (lt emptoyer contdbules wder more lhan one collective baryaining agreemenr, ch*k boxl aadsee iaslnrclions reaardinq rcguhed attadtment. Olherulse, enler lhe appilcable daail Monlh Day Year G Conlrlbution rate lnformatio n (lf morc than one .rorle applies,cftec,t thls 0oxfl and soo inslructions regading requfued allachmenl. Otherwtse, complole ilems 13e(l) and 1&(2).)(1) Contribution rale fin dollars and cents) Ai Baseunitmeasure:[l Hourly n w""kty Tl unitof produclion fl oher(specify): a Name of conlribuung employer b etn G Ddlar amount contributed by employer € Conlribulion ral€ lnformalio n (lt morc than ono rcle appties, chect tlris box I ead see iaslructrbas rcgarding rcqulred ailachmeil. Othemlso, amplete items 13e(1) and l3e(2).)(1) Contdbutlon rate (ln dollats and cenls) -izi sasounit I Name ol contribudng employer d Oale cdlective bargaining agreement explrcs (lf omployer contributes undw more than one cotlective baryaining agteement, checl< boxl aad soe instruclions rooardins required atlachment. Otherwtse, enter lhe appliable dete.) Monlh Day Year b ErN G Ddlar amount contdbuled d Date colleclive bargaining agreement explrcs (lt employer conbibutes uder more than one @llecliw bargaining egreemenl, ched< I and see Inslrucllurs reoardina reo.lred ottachment. Olherulse, enter the appllcabte date.) Monlh Day Year b EIN c Ddlar amounl contributod by employer B Cqrtributlon rate lnformaUo n (ll more lhan one rute applies,ctreck tiis 0ox[ end see instrucllons rcgardlng rcquhed attochment, Orie/wise, complelo items ltu(l) and 1342))(1) Cmtribution rate (in dollas and cents) -l2l B6se unlt measure: [l Hou,ly n w.*ty Tf Unil of production fl other (specifi): a Name of cont ibuling employer d oate colleclivo bagaining agreement expi res (tt employer contibutes undet morc lhan ono qlloctiva bargaining agroemenf, cfteclr Doxfl and see lnslruetions reaardlno reoulrcd etlechment. Olfterwise, enter the appllcable date.) Month Day Year G Cqrlribuflon rato lnformatlon (lf more lhan ona larta applles, check thts Dox I and see In $ructlons rcgadtng Bqutrcd attadmenL Othervlse, cunploto iloms l3e(1) aN 13e(2))(1) Conlribullon rate (ln.dollars and c€nts) -(2) t"rrun,.."rtr.,l-l Horn, [ :- a Naryg of conlributing employer b EIN G Ddlar amount conlributed by empbyer d oate collectire baroainlng agreement explre s (ff omployor eonlibutes wler moro than ono ollecliw baryalnlng apenent"clrec/< Dox[ andseolnslrucdonsrwoldingrceulrcdattadtmont. Olierwlso, enlerlhaeppticabledale.) Month- Day- Year- G Contribulbn rate infomatlo n (lf moro lhan one ,rtte applies, check thls Dox I and see inslruclb ns regarding requlred attachnpnt, Olherulsr,, qpmplola llems 13e(1) and l3e(2).)(11 Canlribution rate (in dollars and oents)(rt Basounilmeasrr";[l n*rty t] wookty tI unitof production fl our"r (soecitu): Schedule R (Fom 55(X)) 20ll Pago 3 14 Enler lhe number ol padicipanls on whose behalf no conlributions were made by an employer ss an emplo)r€r of lhe parliclpant for: a Thg curent yoar..............,...,.,........ b The plan year lmmedhtely preceding the current ptan year...,.,.,.-.,..... l5 Enter lhe ,atlo oI lhe number of parliclpanls under lhe plan on wtlose behalf no employer had an obtlgation to make an omployor contribulion during lhe @rrent plan year to: o The corresponding numbor for lhe plan year immedialely precedlng lhe curent plan year b the number lor lhe second I 6 lnlormation wilh respeci to any employors who withdrew lrom tho plan during the proceding plan year: I Enter lho number of employers who wllhdrew dudng lhe prec€ding plan year b tf ltem 16a ts groater than O, enter tho aggregale amounl of withdrarval llabllity assessed or es[maled to be such I 7 lf assels and liabilities fronr another plan have been transfened to ot merged rvith lhis plan during lhe ptan year, check box and see lnslruclions regardlng 18 ll any liabilities to padicipants or lhelr beneficlaries under lhe ptan as of tho ond of lhe plan year conslst (in wholo or ln part) of llabllities to such particlpants and beneliclaries under two or more penslon plans as ol lmmediately beloro suctr plan year, check box and see lnslructions regarding supplemenlal 19 lf lhe total number ol padicipanls is 1 ,(X)0 or more, complete items (a) through (c) ? Entr lhe percentage of plan assets held as: Stock: 60 % lnveslrnent-Grade Debt: 25% High-Yield Debk 9Vn Real Eslato:9o Olher:6* Provide the average duratlon of lhe comblned lnvestmentgrade and hlgh-yield debt: I o-s yu"o fl a'o y"ar" I o-s yuro I s-tz y,.rr. I tz-ts yuars ff ts-to y"ars [ 1s-21 y""r. fl 21 years or moru What duralion measure was tned to calculale ltem 19@)? filEtfective durauon l-l Macaulay duralion fl uooln.o duration l-lother (spedfy): Annual Return/Repod of Employee Benefit Plan This form is required to be liled for empoyee benelit plans under sections 104 and 4065 of the Employea Retirement lncome Securily Act of 1974 (ERISA) and secUons 6047(e), 6057(b), and 6058(a) ol the lnlernal Reverure Code (the Code). ) Gomplete all enlries ln accordance wlth the lnslrucllons to the Fontr 5500. Form 5500 Oegatmnt ol ihe Tf€9ujylntmal Rovm6 S€ftlca O&l8 Nos. 121 0.01 t0 1 210.0089 2012txFrtDcri ol Lrbd FnFbyeb Benclts S@d.y Admln lsts Uoo Ponslon B€n.fi| CusEoty Co{po.stlm A This retuny'reporl ls for: B This relum/reporl is: C lf lhe ptan ls a collectivel D Cneck box it liling under: a mulliemployer plan; [l a slngleemployer plan; I the tust relurdreport; I an amended retum/reporl; a mulliple-employer plan; or I a oFr (specfy) - I me nnat relum/reporf; I a short plan year reluny'report (less than 12 monlhs), Thls Fo(m ls Open to Public 2b Emptoyer ldentilicstion Number (ElN) 22-244L477 2c Sponsor's telephons number(20r) 767-9300 2d Business code (see lnstnrclims) 227300 Form 5558; I ayomatic extension; special extension (Bntef d6$criFtion) Baslc Plan lnfolmatlon-enter all 1a NameofplanUnited I{ater Resources fnc. Retirement Plan 2a Plan sponsor's narne and address; includa room or sult6 number (employer, iF tor a single-employer plan) United iJater Resources fnc. I Ure OrVc program; number(PN)1 I 002 1C Eflectlve date of plan 05/t2/L9A',t 200 OId Hook R<;ac.l Ilarrington Park NJ 01640 Caulion: A pcna[y for lhe lato or lncomplete flllno of lhls relum/report will be assessed unless roasonabla cause ls eslabllshod. C lf lhe ptan ls a collectively-bargalned plan, check hsre, . . . . . . . , . . .r fl under penalties of perlury Bn, othcr penallles set forlh trr lhe Inslructions, I declare that I have examined lhis relurn/reporl, lncluding accompanying sche&rles, statements and allachmeolg; as vrell a,g'lhe eleclronic verslon of this relum/reporl, and to lhe besl ot my knovdedge and belief, it is lrue, conect, and comflete. SIGN HERE 1!J,, l.:'t4arj-e C, laugh Slnnature of ptary'aatlnrlolstrator n{o /Entor name of individual sionino as olan adminlslrator SIGN IIERE '1. , !! ) .' j .. ;"i'r' ;'f ,i'{,r'} -'rc1,,t-1,',tylABtc c QAoet( sio'naturo or om61&errolnn erronsor oa(e Enler name of Indlvldual slgnlng as employer or plan sponsor SIGN HERE DFE Dale Enler name of individual sionino as DFE Preparefs name (including lirm name, if appllcable) and addrsss; Include rmm or sulte numher. (optionat)Prcparefs lelephon6 numbea (optional) seo v. 120126 Form 55@ (2012)Page2 3a Plan admlnlskalo/s name and address as Plan Sponsor Name as Plan Sponsor Address lf the name and/or EIN of the plan sponsor has changed since lhe last retunr/reporl liled for lhis plan, enler lhe name, EIN and lhs dan number from lhe last return/report: a Sponsor's nam€ 5 Tolal number of parllcipanls at the beginning of lhe plen year 6 Number of partldpants as or lhe end of lhe plan y€ar (w€lfare plans complete only lines 6a, 6b, 6c, and 6d). C Olher retjred ot sepalated parlicipanls €ntilled to lutur€ bene|iis...,.......,.. g Deceasodparlicipantswhoseboneficiari€sarereceivingorareenlitledtoreceivebenents,,........, g Numborofparticlpantswilhaccou0tbalancesasof{heendoftheplanyear(onlydetinedcontributionplans 3b 3c Administralo.s tolephone number 4b enr L,032 , *J_1! q92 2,4t_2 tt5 2,63'l PN h Number of participanls that terminat€d employment durlng lhe plan year with accrued benefits lhat were 7 Enter lhe tolal number of employers obligated lo contrlbute lo the ptan (only nrultienrployer plans cornplete this lteIn)........, 8a lt the plan provides penslon benefils, enter {he applicable pension feature codes from the List of Plan Characteristics Godos in lho lnstruclions:1A 1G 3II b lrtire plan provides wdfare benelils, enlsr lhe applicable welfare fealure oodes trom the Llsl of Plan Characteristics Codes in lhe inslruclions: Plan tunding arrangement (d1eck all that apply)Plan benefit anangement (check all that apply)(1) I I lnsurance lnsurance Code secllon 412(o)(3) insurance contracts Trust Trust General assols o[ th6 6r.t+JrlsotGeneral assets ol lhe CheckallappllcabloboxesinlOaandlObloindicalewhichschedulesarealtached,and,whereindicated,enterlhenunlberattached. (Seoinshuctions) Penslon Schedules b Gsneral Schedules 10 a (2) (3) (1) (2) B R (Retirement Plan lnformalion) MB (Multiemployer Delined Bene6t PIan and Cerlain Money Purchase Plan Actuarlal lnfonnatlon) - signed by lhe plan actuary SB (Slngle-Employer Dellnod Benefil Plan Actuarial lnlonnalion) - sigrurl by tho plan acluary (1) E H (Financlal lnformalion) I (Finandal lnformation - Small PIan) _ A (lnsurancelnbrmation) G (Service Provider lnlormation) D (DFE/Parllcipallng Plan lnfomation) G (Financial Transaction Schedutes) (2) (3) (4) (5) (6) I I(3) SCHEDULE SB ' (Form 5500) Oepadmf,l o{ UE Trssy lntrmal ReEns Se^{€ Oqrr.tmrl ol Le bot EoDlmo Bone6a! Seqkv Adrinlrralhn Pcnsioo g.neft Gusonty Cgrerstlofl C Plan sponsor's nams as shourn on line 2a ol Form 5500 or 5500€F United l,later Resources Inc. Single-Employer Defined Benefit Plan Actu arial I nforma'tion This schedule ls requked lo be fjled under section 1Ol ol the Employee Rotroment lncono Sccurily Acl ot 1074 (ERISA) and seclion O059 of lhe lnt€mal Revenus Code (the Code). ) File as an attachment to Form 5500 or 5500-SF. OLlBNo. l2!0{i10 2012 Thls Form Is Open to Publlc lnspectlon .... .*?.r9e!Id"pp .. .. . __."""^ ^)"U_3*V^L1"*12_ D Employer ldenilicalion Numbor (ElN) 22-244t47't .rcr:.alglgs@IJesr?9#-er-[:q?1 plgn y-selqru tngg** ) Round off amounts to nearast dollar. ). 9-1{!st:Arfltelv--"lr"tHg *it})-,*a"i":l"x*}lklgjltg-9l lhi: {s"s.g.{!. -,. 1!9J: r9:*. n1b!9. i".- "'A Namo ol plan United l{ater Resources Inc. Retirement Plan E Type of plan: fil snse Multifle-A Multifle'B Pa* I' I Baslc lnformatlon 1 Enter lhe volualion dale:Monlh 1 Day I F ftioryaarplansizal 100 or f6r,er 101-500 l'\trore than 50o Year 2Ol2 2 Assels: b Acluadal value 3 Fundinglargel/participanlcounlbreakdovn: o Forrelircd porlichonts 6nd boneliclarios receiving payrnent.. rc{,- bFor|emrina1edvesledparlicipanls...................,,,..,.....,,...................1 3b C For aclive participants: ({) Non-vested benefits............. 4 ll the plan is in al-risk slstus, check lhe box and oomplele lines (a) and (b).. ... .. ..... . -. . E 205, 363/ -507 -?-oLa9.L93-t 121,860,161 229 r 5).2,647O Funding target disregarding prescnbed al-risk assuntptions ,..,,,.-.....-....... b Funding targot roll€cting at-risk as6umplions, but disregarding lransilion rule for plans that have been in -..........9t-risk slatus for {evrEr lha.Lffy.? cg!:gc'rqy.q.yp-g_(*.gng {iilgggs&q.lg?rin$ loclot,,.,..,.,:::.:.::::.:::::.:"..:-::.:.:::::214,O30t120 7 :02 8 , 026 ,'? 39 S(atsment by Enrolled Actuary cqralnatlhi o(fe my ba3l .sdmt6 o( rhtth6tEd crg.dm undea thr d!n. '$mil HERE Ioseph N. Mcl)onald Jossru nl. tulcDou+a [o,r, t7 Dale r 1-06562 980 kJ3-ea2e 88, 70Ii, 540 1,125 96, 4 35, 069 2,688 Signaturo of ecluary Typo or print name ol acluary levritt Associ.ates LLC ihst recenl enrollment number (732) 53?-7015 lO0 Atrium Drive ith Eloor iomerseL Flrm name Talephom numbor (induding area code) NJ OBB73 Mdress o[ lhe lirm 'lhe acluary has not fully 16llectod any rogulation or Juling prorilulgaled under the elalulo in completing lltls schedule. check ths box and soE rsLuclions n 'or Paperwork Reduction Act Notlce and OMB Gonhol Numbsrs, see lho Instrucllons tor Forrn 6500 or 5500,sF.schBdule SB (Form 5500) 2012 v,120126 Schedule SB (Form 55O0) 2012 Part ll ofYearC Balances 7 Balanco at beginning of prior year aflcr sppllerblo adjusbnonb (line 13 ftom prlor 8 Porlion el€cted tor use lo oIfsEt prior y6€/s lunding requkemenl (line 35 irom I Arnounl (line 7 minus line {0 hterest on lire I aclual rslum of I 1 Prior year's excoss conkibulions lo be added to prefunding balanco: o Presonl value of excass conlribulions (line 38a lrom pdor year) ..,... b lnterosl on (a) using prior yeaFs effective lnterest rate of 5 ' 27 % except as olhemise provlded (see lnstructions).,,.."",....-.. c Tolal available at begimirg otoJnenlplan )€arloadd to pr€funding balanos......... 12 otrerreductions in balencos due loolecfons or deemed electbns 371 23 394 13 Bahnceal of cun6nt g + lino 10 + lina 11d -lin6 1 Pad llltl altainm€nl 89.86 15 attainmont 89.8G o/o 16 Pria year's funding percenlaga lor puryosas of delermiring wtrether cenyovar/prefunding balances may be used lo reduce {7 lfthecunenlvalueollheassolsofthsplanlslosslhanT0psrcentollhofundinglarget,enlersuchpercontage.,.,,.,.,......,...,.,.., 16,64 oh Part lV I Contrlbutlons and Shortfalls 1 8 Conlributions nrade to lho olail for lh6 (e, Dato (c) tunount pald by 03/t5/2u-2 04 /13/20t2 01 /13/2012 l^0/t5/2012 0t/ 15 /2073 10 Discounted employer corrlribul.:ions - soe inskuc{ims lor smsll plan wih a valualion dato after lhe boginning ol ho a Conldbutions allocated loward unpaid mlnimum requlred conk$utions from pdor years.,,...... b Conlribulions made lo avold reslrlcllons adjustod to valualion dale,,,.,..,.-..,,,,.-.r53, 94 0 c (hnt lbullonsallocated to$/ard for (r.lfl€nl tovahauoo dato.1A,597,238 20 Quaderly conbibulions and liquldily shodfalls: b lI lin6 2Oa ls Yes.'were required quartedy lnstalknenls for lhe cunent year made in a limely mannor? ...::::::::::::::::E|_Ye" -[LIg_ c lf line 20a is Yes,'see inslructions and 156,06 3,839,32 3,830r 32 1 ,365, O'1 rs. 4 77. 358 shortfall as of end of 1st segmenl: 5. 54 To SchedulesB (Fom550O)2012 Page3 IPart V lAssumptlgns Used.to Dete!.Flne Fundln$-Tafgg.t-e$d Tqrget Norrnal Gost ** . - _21 Oiscounl rato: a Segmont rales:3rd segment: 1 .52. o/o b Appllc*lls nron-t! 22 23 ttortatity taule(s) (s€o instructions) Part Vl I Mlscellaneous ltems 24 nas a change been mads In the non.prescribed actuarial assumplions for tha curonl plan yesfl lf Yes,' 3oo inslruclions rogarding required 25 Has e method change been rnade for lho current plan year? lf Yas,'see inslructioos regatding required altachmenl.."....- ls lhe ptan required lo provlda a Schedule ol Aclivo Padicipants? ll Yes,' seo inslruclions regatding r4uir€d altachmonl. 27 f ll:r- plan ls subjecl lo altometive funding rules, enler applicabls code and see lnstructions regarding atlachmsnl...,.... Part Vll lReconcillatlon of Unpald Mlnlmum R Contributions For Prior Years conlribulions for all ptior 29 Discounted employer contribulions allocalcd toward unpaid minlmurn required conlributions lrom prior years 30 a,nount ol unpaid minlrrurn required contributions {lhe28 rninus llne PartVlll Mlnlmum Gontrlbutlon For Current Year normal cost and excass assgts A Tamot normal cosl 8,026,139 b Excess assots, il but nol groal€r lhan line 31a 32 Amortization installmenls: d Net shorlfall amorlizaton inslallmonl ..,,.....4,017, BB3 b Waivor amorlizalion inslallmanl.....-................,,. 33 lf a walver has beon approved lor thls plan year, enter the date of lhe ruling letter granting tho approval(Month_ Day--- Year-)and lhewaivedamount.............. belore rellecting carryover/prefrrnding balances (lines 3la - 31b + 32a + 32b - SS)..72, O44,622 Tolal balance Belances elecled {or use lo otfsel lunding requiremenl....... 36 Additional cssh 12 , O4 4, 622 37 ConfibuEons altocaled toward minimum required conlribuulon for current year adiusted lo vatualion date 14,59't ,238 38 Prosont value of excess contribulions for cunent 2,552 t 616 b Portion included ln line 38a atlribulable lo use ol and tundiAo slandard 39 minimum reauilod conlribulion lor cunenl if srry, of line 36 over line 37) . 40 minimrror conlributions lor all Part lX Penslon Fundlng Rellef Under Penslon Rellef Act of 2010 (See Inetructlons) 2.d $egment:6.8s %I NlA, rrttyieto curvo used 64 "Y":: Yes No 32 ,155, O 4l tl an eleclion was made lo usa PRA 2010 fundlng relisf fot thls plan; b Eigiula plan year(s) lor wtrlch the elecllon ln lino 41a was made ,.....,...".... 42 Amount ol acceleration adjuslrnont .......-,"...... 43 Excgss inslallmenl ecceloralion emounl to bo canied over to [ulure Service Provider !nformation Thls schedule is requlred lo be filed under sectlon 104 ol ho Employoe Relirement lncome Sscuri(y Act ol 1974 (ERISA). ) Flleas an attochmentto Form 5500. SGHEDULE G (Form 5500) 03p6rttrnl ol tho Troeury tnternal Rovmue Sbryle oopartrnsl o, Labo.Etrtgby€ B€ncf ls Srarlly Adid.IslrEiim :or cdendor 2012 or fiscal A Name of plan lnited Piater Resources Inc. Retirement Plan Ol'lB No, 1210-0110 2012 Thls Form ls Open to Publlc lnsp€clion. and B Th,€B-digit plan number G Plan sporrsor's name as shown on lina 2a of Form 5500 D Employer ldentificalion Number (ElN) 22-244t411 lnited t{ater Resources fnc. Part I Provlder lnfo rmatlon {see lnstruclions You must complet€ lhls Part, ln accordance wilh tho lnslruclions, lo report lhe information required for each person wto r€@lv6d, dkeclly or indirecUy, $S,OOO oI more in total compensalion (1.e., money or arrythlng els6 of monetary value) in connectlon wilh services rendEred to lhe plan or lhe pason's positkrn with theplan during lhe plan year. lf a person recsived only eligible indirecl mmpensalion for which lhe plan received the reqdred disclosures, you are requked lo answer llne 1 bul sre nol required lo lnclude that porson wten completing lhe ,amainder of lhis Part. 1 lnformation on Persons Receivlng Only Ellglble lndlrect Compensatlon a Check'Yes" or 'No" to indicale Melher you are excludilrg a persofl from the remainder ol lhis Part because they teceirred only eligible lndirect ompensatlon for which lhe plan recalved lhe required dlsdosures (see lnslnrctions for definitions and conditions),. . . . , , . flVe" [lUo b lf you ansrrrered lino ta Yeq' enlar the name and EIN or address of oach person pro/iding lhe requhed disdosures for lhe service providers who received only eliglble lndirect omponsalion. Cornplete as many enlrios as needed (see lnstructions). (b) enUr name and EIN or address of person who provided you dasclosures on eligibls indirect compensalion (b) enrcr name and EIN or address of porson who provlded you disclosure on eligibte lndirecl compensalion (b) fnler namo and EIN or address of person who provlded lou disclosures on eligible indirect compensalion (b) enter name and EIN or address of person who provided you disdosures on eliglble lndirecl compensatlon For Paperwork Reducllon Acl Noilce and OMB Gonlrol Numbers, see lhe lnslrucilons for Form 5500 Sch€dule C (Form 5500) 2012 v.120120 Scledde C (Fom 5500) 2012 (b) enter name and EIN or address of person who povided you disclosures on eligible Indirect componsation (b) enbr name and EIN or addrqss of person who povided you disclosures on ollgible lndltect compensallon (b) arler name ard EIN or addross ol person who prorided you disclosunBs o.r eligible indirccl mmpdsation (b) enter narne and EIN or address ol person who provided you dtsclosures on ellglble lndlrect compensatlon (b) Enter nane and EIN or address of person who providod you disdosurcs on eliglble lndirecl compansatlon (b) enrcr name and EIN or address of person who provided you disclosures on eligible lndlrsct compensalion (b| Enter name and EIN or address of person who provided yor disdosures on eliglble lndlrect compensalion (b) Enter name and ElN or addross ot person who provlded you discbsutes on ellglblo indirect compensalion Schedule C (Form 5500) 2012 Page 3 2. lnformation on Other Service Provlders Receiving Direct or lndltoct Compensation. Exc€pl tor those persons for whorn you answered Yes' to line 1a above, conlplele as many entries as needed to lis( each psrson receiving, directly or indireclly, $5,000 or more ln lolal compensalion (i.e., money or anything else of value) in connection with services rendered to ths plan or thelr posliion ryith the plan dudng lhe pbn year. (See insl.ruction6). (a) Enter name and EIN or address (see inslruclions) AON CONSULTING 22-222tBBB (b)Servlce Code(s) 11 50 (c) Relationshlp to employer, employee organizatioo, or porson known to b6 a parlyJn-interest (d) Enter direct mmpensallon pald iy theplan, lfnone enter -0-. (e) Did service provlder receive Indirecl compensalion ? (sources other lhan plan or plan sponsor) (0 Did indirect compensallon include eligible lndlrect compensalion, for whtch lhe plan received lhe required disclosures? (s) Enter total indiracl compensation received by service provider excluding ellgible indirect compensalion for whlch yor an$vered'Yes" to element (f). lfnone,enler{-. (h) Did lhe servier provider give you a lormula inslead ol an arnount or a*limaled amounl? NONE 430,8 ves I r.ro [l ves I ucfl ves[ ruofl (a) Enler name and EIN or address (see instruclions) DIVERSIFIED INVESTI.IENT ADVISORS 13*368904 4 (b) Service Codo(s) 21 50 (c) Relationship to employer, employee organization, or person known to be a parly-in.interest (d) Enter dkoct contpensation pald ry the plan. ll none etrter -0-. (e) Did service provider recaive indircct compensation? (sources other than plan or plan sponsod (0 OH lndirect compensation include eligible indirect compensalion, for which the plan received the requked disclosures? (s) Enter lotal indlrect compensation received by service provider excluding etlgible lndlrect compensation for which you answeted ryes' lo element (f). lfnone. enter-0-. (h) Dld lhe servlce provider give you a formula instead of an amount or estimaled amouflt? NONE L18,79 ves [| r'ro I ves [ ruo [l ves$ ruofl (a) Enter narne and EIN or address (see lnstrucllons) KPMG LLP I 3- 55 6s207 (b)service code(s) 10 50 (c) Relatlonship to employer, employee organlzation, or person known to be a pady-ln-interest (d) Enter dlrecl comp€nsation paid ry lhe plan. lf none entor -0-, (e) Dd servlen provider receive indlrsct compensalion? (sources other than plan or plan sponsor) (0 Dld indirect compensation include ellgible lndirect compensation, Ior lvhlch lhe plan received the requked dhclosures? (s) Enler total indirect mmpensal'on received by se rvice provUer excluding ellglble lndirect compensalion for which you answered Yes" to element (f), lfnone, enter-0-, (h) Did the service crovider give you a formula instead of an amounl or :stimated amount? NONE 56,031 ves I r.ro [l ves I r,ro I ves[ ruofl Schedulo C (Form 5500) 201 2 Paoe 3 2. lnformatlon on Other Service Provlders Recelving Dlrect or lndlrect Compensatlon. Exc€pt forthose persons for whom you ansrvered "Yes' to line 1a above, mmplete as many entries au neecled to list each person receiving. directly or lndir€ctly, $5,000 or more ln lotal compensalion (i.e., money or anything else of value) in conneclron with services rendeted to lhe plan or lheir position vrlth ths plan dudng the plan year. (See lnslructions). (a) Enter name and EIN or addrsss (se€ inslructions) APPLTED PORTFOLIO MANAGEMENT, INC. 22-2349125 (b)servtce Code(s) 28 50 (d) Ent6r dlrecl compensation pald the plan. If enter -0-. (e) Did service provider recelvo indirect comp6nsation? (so:rces other than plan or plan sponsor) OId lndkect compensatlon include ellgible indhect compensation, for which lhe plan recoived lhe required disclosures? Enter totalindkeci compensation recelved by servlce prorider excludlng eligible indirect anslver€d Yes" to el€ment (f). lfnone, enter-0-. (c) Relationship lo employer, employee organizalion, or pecon knorvn to be a party-inlnter€st OId the service )rovider give you a formula instead of an amount or amounl? ves I r'ro [l ves! ruofl ves fl ruo I49,38 (a) Enler name and EIN or addr€ss (see inskuclions) (b) Service Code(s) (c) Relationship to omployer, employee organizaiion, or person known lo be a party-in-interest (d) Enlerdirecl compensation paid by the plan. lf none enter -0-, (e) oid service provld€r rec€lv€ indirect compensation? (sources other than plan or plan sponsor) (f) Did indirect compensation lndude eligibte indkecl compensation, for which the plan recelved lhe requhed disclosures? ts) Enter tolal indlr€ct comp6nsalion rec€lved by service provider excludlng ellglble indkect (h) Oid lhe service provider give you a formula instead oF an amounl or ,ItPUilJdUU[ tur Wr IUI yUU ansrvered Yes" to elemenl(l). lfnone, enter-0-. ves[ ruofl ves! ruo[ves ! tto I (a) Enter name and EIN or addrese (see lnstructions) (b) Service code{s) (c) Relatlonshlp to employer, employoe organlzatlon, or person known to be a parly-inJnterest td) Enler direct mmpensatlon pald cy the plan. lf none enler -0-, (e) Did service provider receive indirect compensa [ion? (sources oher than plan or plan sponsor) (0 Dld Indirect cornpensalion ktcludo eliglble indirect conpensation, for vJhich the plan received the requlred disclos(res? (s) Enter totalindkect mmpensation received by service provider excludlng ellgible indirect compensation for whlch yo(l answered Yes" lo element (t). lfnone, enlsr-0-. (h) Dld lhe service provider give you a formuta Inslead of an arnoun[ or oslimal€d amounl? ves I r'ro !vcs I r.ro I ves I r,ro I Schedule C (Fom 5600) 2012 Part I Provider !nforrnatlon 3 lf you reporled on line 2 recelpt oF lndirect compensation, other than eligible indirect compensalion, by a seMce provlder, and lhe servlce providor ls a liduciary or provides conlract admlnlstrator, consulting. cuslodial. inveslmenl advisory, investmsnt management, broker, o, reoordkeeping servicas, answer the following questions for (a) each source frorn whom lhe service provider recelved $1,000 or more ln lndkecl compensation and (b) each source for whom lhe servlce provider gave you a formula used to dslermine lhe lndirecl compensation inslead of an amount or ostimated amount ol the lndirecl compensalion. Complete as many enlries as n€eded lo report ths rsqui,ed information for each source. (a) Enter servlce provlder namo as it appears on line 2 (c) Enter anrounl of indirect (d) Enter name and EIN (address) ol source of indlrccl compensalion (e) Describe the indirecl compensalion, including any formula used to determlne the seMce providefs sfigibility for or lhe amount ol lhe lndirect compensalion, (a) Enter seMco provider nanre as it appears on ljne 2 (c) Enter amornt of lndhect compensallon (d) enter name and EIN (address) of source o[ lndirect mmpensation (e) Describe tho lndkecl compensation, including any lormula used to determine the seMce provide/s eligibility for or lhe amount of the lndkect compensation. (a) Enter sewice provider name as lt appears on line 2 (c) Enter amount of lndirect compensation (d) enter name and EIN (address) of sourco ol hdirecl compensalion (e) DescriUe the indirect compensation, including any lormula use<l lo delermlne the seMce provhe/s eligibility for or lhe amount of the indir€ct cornpensalion. (b) Service CoOes (see instruclions) Sdedule C (Fom 5500) 2012 4 Provids, to lho extenl posalble, tho follovdng inlormalion for each servlc€ provider wtro failed or re(used to provlde lhe information nacsssary lo complets Part Il I Serulce Provlders Who Fall or Rofuse to Provlde lnformallon Enter name and EIN ot address ol s0ruic6 provlder (ses inslnrctlons) Enler name and EIN or address of service provider (seo lnslrucuons) Enter name and EIN or address of seMco proviler (see hslructlons) (a) Enter name and EIN or address of seMce provider (see lnstrucllons) (a) Enter name and EIN or addrEss of seMce provider (see lnstrrrctions) Enler name and EIN or address of service provider (see lnslnrcUons) (C) Desuibe lhe lnbrmalion thet lhe seMcs providor failed or refusod to provlde (C) DescdUe the infomlafion thal lhs senics prwider falled or relused to provide Describ€ th€ lnformation lhat lhe sorvice providor failed or refused to provide (C) Dascrlbe the lnlormation lhat the seMce provider failed or rofused to provid6 (C) Desoibe the lnformation lhat lhe service provider failed or refused lo provide Desc.ibe lhe information that lhe seMcs provtder lalled or refused to provide Schedule C (Fom 5500) 2012 Page 6- Part lll I Termlnation Information on Accounlanls and Enrolled Acluarles (see lnstructlons! as fitany enuios as a Name:Ettt:22-?- C Posltion: Enrolled Actuary d Address:HerliLt Associates LLC 400 Atrium Drive, 5th Floor Somerset NJ 08873 Explanation:Corporate decision to change actuarial firms. Explanation: Explanation: Exptanallon: a Name: c Posilion: b erru: d Address: Explanalion; SGHEDULE D (Form 5600) DepartEnl. ol fia Tass,ylntsBlR6HESdiB OepadrrEnt ol Lsbo. Emphyee 8€ne[k Se@dly Ado{rJsuadoo A Name otplan United trlater Resources Inc, Retirement Plan OMB No. ,1210.01 t0 2012 Thls Form lc Open to Public lnrpecllon. 002 C Plan ot DFE sponso/s nam6 as shown on line 2a of Form 5500 United I{al-e-r' Resources Irrc. D Employer ldentificalion Number (ElN) 22-24 41,41'1 I *rr:.ll:o"n:: "r.nrn listed in (a): DIVERS I E IED INVESTMENTS ADVISoRS c EIN-PN 13 .3689044 r mce r rcltz.tF..gl.-e-.n-qg..rjear(seotnsFrqronil-. .-- -196'892'388 Part I I lnformatlon on lnterests ln MTlAs, CGTs, PSAs, and 103-12 lEs (to be completed by plans and DFEs) entries as ns€d6d to all interests in DFEs a Name of MTIA. CCT, PSA, or '103-12 lE: a Nameof MTIA, CCT, PSA, or 1m-12 lE: ? Name of MTIA, CCT, PSA, or 103-12lE: a Nameo, MTIA, CCT, PSA,or 10&12 lE: a Name of MTIA, CCT, PSA, or 10312 lE: a Name of MTld CCT, PSA, or 10$12|E: , b,, Name of sponsor of entity listed ln (a): C EIN.PN I oodr I 103-12 lE at end ofveal (soe lnskucliorts) b Name olsponsorof :ll:]:-:o*0. "r,c ErN.pN ---l a=rtrty -*|;-oorr",I code - I -1lt-1tlEtl94!-9{Iegltseei**lrurtions} - .b Name of sponsor of entity lisled in (a): G EIN.PN *-,-.J cgde I 103-r2lE,g1otg-9fYgells9eitsM. .* b Name of sponsor of€n(ity listed in (a): C EIN-PN I - €lde I i031r?lE..Sl..p".#orvaq{q"?S.in$h!#on$t -. -..-_. ,,,, -.- DFE/Participating Plan Information This schedule ls required to be filed under section 'lO4 of the Employee Fleliremml lncome Security Act of 1974 (ERISA), ) File as an atlachmsntto Form 5500, o Nameof MTIA, CCT. PSA, or 1O3-121E:COMMON COLLECTIVE TRUST EUND b Name ol sponsor of entlty llsted In (a): C EIN.PN e Oollar value of inlerest in MTIA, CCT, PSA. or Sdpdule D (Form 5500) 2012 ,3:U a Name of MTIA, CCT, PSA, or 10+.12lE: b Name of sponsor ot entity listed in (a): " a,*.r* a Name of MTIA, CCT, PSA, or 103-12 ]E: b Nans of sponsor of endty lisied in (a): " =,*-rI .. a Name otMTIA, CCT, PSA, ot 103-'12lE. . LjTi ::::of enritv risred in (a): c EtN-pN C;;rtt^ t\,rTtArcCT, pSA *I codg - l !!ll2 qlqrdof vear{seqinrlrucllgnsl -._-..- ,...._,- , ._ a Name of MTIA, CCT, PSA, or 103-12 lE: b Name of sponsor of entity lisled in (a): C EIN-PN I code I 103-12 rEatgELol1EL(soslnslruclions) _ - a Nameof MTIA, CCT, PSA,or i03-12 lE: . I Nlme of sponsor ot enUY lisled in (a); C EIN-PN I codo _l 103-12 lE at end of vear (seo lostruclions) _._ " ....... _- a Namo ot MTIA, GCT. PSA. or 103-12 lE: b . Name of,sponsor ol entily lisled in (a): c EtN-pN ,"rl tr MTIA, CCT, PSA,,I code I i03"8 !E a'LqlDryqar (seq iqslructions) _. a Name ot MTIA. CCT. PSA, ol103-12 lE: b Name ot sponsor of entity listed ln {a); " tl*:t-" a Nameof MTIA. CCT, PSA. 0|103.12 tE: b Name of sponsor of entity listed ln (a): C EIN.PN I code I 1{0-12 lEatendof vaatGgui*slruelbns) _._._ .. * "* a Nameof MTIA. CCf, PSA, or 103-12 lE: b Name of sponsor of eniity,llsted in (a): " :,*-r* o Nameof MTIA, CCT, PSA, or 10$12 lE: b -Name of sponsorof enlity llsted ln (a): : =,n -rr -* Scttsdule D (Fom 5500) 2012 Part ll I lnformation on atlng Plans {to be completed by DFEs) needed to ra,rlo{l all nartirinallno rl*ns} a Plan name b Nameof plao sponsor C EIN.PN O Plan name b Naneof plan sponsor C EIN-PN a Plan name b Nameof plan eponsor a Plan neme a Plan name b Nameof plan sponsor -Tc Et.rtfN I a Plan name - plan sponsor I a Plan name b Namaot pl€n sponsor I c E|N-PN II a Plan nanle b Nameof plarr sponsor C EIN.PN a Plan name b Nameof pla* sponsor I T a Plan name b Nameof plan sponsor a Plan namo b Nameof C EIN.PN spons0r a Plan name b Nameof plan sponsor Financial Information This sctredule ls required lo be filed unde, seclion '104 of the Employee Relirement lncoms Security Act of 1974 (ERISA), and seclion 6058(a) of lhe lntemsl Revenue Code (lhe Code). ) Flle as an atlachment lo Form 5500. SCHEDULE H (Form 5500) Depalnnnl of 0re Trerury lnl€rnsl Rflilse S€rY!€ Oopdtlul ot t3bd Em9aoyeo 8€nelih :;ddtyAd,ilrl,sfsfin a Tolal noninterosl-bsarlng cash.........."."..... b Receivables (tess allowance for doubtful accounls): (l) Employer contributions.,......., (2) ParUcipsnt conlributions.,.,.,.,, (3) Other..,........ C General investments:(l) lntcrcst-bearlng cash (include money market accounts & cerlificates of deposit)..,...,.. (2) U.S. Govemment securilies.... (3) Corporato debt inslruments (oher than employer securitles): (A) Prafened (4) Corporat€ $tocks (other than employer securities): (A) Prefened (B) Common..... (5) Parlnership{oint venlure inlerests ..................,., (6) Real eslate (olher lhan employer real property)..........." (71 Loans (other lhan to participants),. (8) Parliclpanl |oans................. (9) Value of inlcrest In commorVcollectivs lrusls..... (10) Value of interest in poolsd separale accoun[s.".,...........,...".. ({l) Value ol inleresl in mast€r lrust invtsslment ac@unts ......,...... (12) Value of interest ln 103-12 investment enlilies.......-................ (13) Value ot Intereet ln regisler€d inv€stmenl companies (e.9., mutual funds)...,.......-.... (14) Value ot funds held ln insurance company general account (unallocatod mntracls).,....,... (15) Oher.......... oMB No. 1210-0110 2012 Thls Form ls Open to Publlc 002 2012 or liscal lnsnorllon/ -11 /21'lL2 A Name of plan United Wate-r Re.solrrce.s Tnc. ReLireurerrL Plan C Plan sponsor's name as shown on line 2a of Fom 5500 UrriLed [,laLer Resources Inc, Asset and l"ta[tll!y-9!eteg9"n!*-^ Cunent vafue of plan assets and llabilitiBs al the beginning and ond of the plan year. Combine the v8lue of plan sssets held in more lhan ono lrust. Report lhB value of the plan's lnlerest in a commingled fund containing the assets o, more lhan one plan on a l]ne-1jy-line trasis unless lhe valuo is roportable on llnos 1c{9) lhrorrgh 1 c(14}. Do nol enler the value of lhat porilon o[ an insurance contract which guaranlees, during this plan year, to pay a specific dollar beneftatafuturedate.Roundoffamounlslothenearesldollar. MIlAs,CCTs,PSAs,andl03-l2lEsdonotcomplelelineslb(f), 1b(2), 1c(8), 1g,th, ,nd 11. CCTs. PSAs. and 1{I1-l ld and 1e^ See Assets Employer ldentifi catlon Number (ElN) 22-244L4't1 365,0?B 7L,609t123 196,892,388 18, 935, 0B L0t964t149 6,855, B1 11r 582,014 168,081, 66 For Paparwork Reducllon Act Notlce and OMB Control Nurnbers, see thc lnslructions lor Form 5500 Schedule H (Foim 5500) 2012 v.120126 S*sdulo H (Form 5500) 2012 Page2 lNetassets(sUbl'aciline1kfromlina1f)-......'.............re,,'',,.-l@,;:g!" 2 Plan income, expensos. arrd clranges in net assels for lhe year. lnclude all income and expcnsos of the plan, including any lrust(s) or separalely rnainlained fund(s) and any paymenlVreceipts tdtronr insurance carriers. Round ofl amounls to lhe nearest dollar. MTlAs, CCTs, PSAs, and 103-12 lEs do nol complete lines 2a, 2b(1)(E),2e,2f, and 29. 1 d Emplopr+elal€d inveslments: (1) Employer s€curi|ies.........................,.............,,,, (2) Employer real property.,,,.,..... e Buildings and other properly used in plan operation .................,.,.. f Total assets (add all amounts ln lines 1a thnough te)..................... I [n##',**,r":,.=',t.-..'....-....,, j Other1iabitities.......,................ k Total liabilities (add all anrounls in lines 1g lhroughll).......... Net Assets lncome a Conlrlbullons: ('l) Received or recelvable in cash [rom: (A) Employers,... @) Participants (G) Others (including rollovers),..,.....,, (2) Noncash contribulions........... (3) Totat conkibulions, Add lines 2a(11(A), (B), (C). and line 2a(2)...,.......,..... b Eamlngs on lnvestmenls: (1f lnleresl: (A) lnterest.bearing cash (including money malkel accounls and certilicates of deposit).,....... (B) U.S. Government secuiilies..,,,,....,..,.. (G) Corpotale debt inslrunrents (D) Loans (other thao to padicipants) (E) Participant 106ns""....,,.,".,....,.. (F) O1her........, (G) Total lnteresl. Add lines 2b(1XA) lhrough (F)......... (2) Dividends: (A) Prcfened stock....................... (B) Common stock....."..."......,..... (G) Registered inveslment cornpany shares (e.9. mutual funds)............. (D) Tolal dividends. Add lines 2b(2XA), (B), and (C) (3) Rents........... (4) Net gdn (loss) on sale of assels: (A) Aggregate p.oceeds ...........,.,,.,,.... (B) Aggregate carrying amount (see lnstruclions).. (c) Subt,act line 2b(4)(B) frcrn line 2bl4)(A) and enter result (5) Unrealized aprecialim (depreciation) of assols: (A) Real estate.... (B) o1her......... (G) Total unrealized sppledistlod of assets. Add lines 2b{5NA) and (B).............. 539, g5o 43b,352 i:39,850 436,352 {al Anrounl Tolal 2a(1)(A)15,477,358 2a(1XB) 2a(1Xc) 2a(21 2al3l 15, 471 ,358 2b(1xA) 2b(1XB) 2b(r)(c) 2b(1XD) 2b(rl(E) 2b('rxFl 2b(1XG)0 2b(2XA) 2b(zXB) 2b(2Nc) 2b(2llo)0 2b(3) 2b{4NA) 2b(lXB) 2b(4xc)0 2b(5XA) 2b(5xB) 2b(5Xc)0 lal Beoinnlno of Year Pl-e4:LYcur 1d(1) 1d(2) 1e 1t 2O5, 454 , 51'l 226,837 ,338 Sohedule H (Fom 5500) 2012 Page 3 (6) Net investrnenl gain (loss) Irom commorvcollective tntsts......................... {7} Net investrnent gain (loss) from pooled separale accounls..... (8) Netinvestmentgain(loss)frommasterlruslinvgslmentaccounls,..,.,...... (9) Nel hvestment galn (loss) from 103-12 lnveslrnent sn(ities......-...-........... (l 0) Net investrnent Oaln (lo$$i f{ofi1 r€Ui$t6red inveslment companies (e,9., muluat fands)...."...,............. c Olher income............... d Total inoome. Add atl income amounts in cdumn (b) and enter total. Expenses e Benefit payment and paymenls to provldo benofits: (l) Direclly to parlicipanls orbeneficiaries, induding direct rollovers......-....... (2) To insurance caniers for lhe provision of benet'its......,.". {3} Ot1ter.......,.., (4) Total benefit paymenls. Add llnes 2e(1) through (3)...-..... f Coneclive distribulions (ses instructions) ....,..,,..........".,-.. g Certain deemed distributions of participant loans (seo lnslrucl.rbns)................ h lnterest oxpense............. i A&ninistrative expenses: {l) Professional fees..."............."..... (2) Contract adminlstrator feas..... (3) lnveslment advlsory and managemsnl fees.."."......,....."."..... (4) Olher","...".,,. (s) Total administraliw oxpenses. Add lines 2i(lllhrough (4)...,.................... J totat oxpenses. Add all expense amounts ln column (b) and enter to|a|,....... Net lncome and Reconclliation k Net income (loss). Subtract line 2j kcnr line 2d,.,.,,.,......,.,........... I Transfers ofassets: (1) To lhis p|an,,......".......,.. (2) From lhls plan ....,,,........,." Accountant's 3 Complete lines 3a lhrough 3c if ltre opinion of an lndependenl qualilied public accountant ls attached to this Fom 5500. Comptete line 3d if an opinlon is nol attadted. (1)l I Unqualified (2)l I Qualified (3)P4l Disclaimer (a)l I Adverse b Did the accountant perform a limited scopo audil pursuant to 29 CFR 2520.103-8 and/or 10!12(d)? (a) Amount Tolal 2b(61 18,655,689 2b(7) 2b(8) 2b(e) 2b(r0) 2c 2 , 61,1, 500 2d 36,'t44,54'r 2e(1)t3,'12s,080 2e12) 2e(3) 2e{a}L3t125,080 2t 29 2h 2r(r)605,'124 2tl2l 2(3)49,382 2(4)114,320 2(s)7,369, 426 2l 15,094,506 t69,182 a The attached oplnlon of an iodependenl qualilied public accounlant for lhis plan is (see lnslructions): c Enlsr lhe name and EIN ol lhe accounlanl (or acmunlinq firm) below: (l) Nanre:l'IEf SERMAZARS (2) EIN:06-1189808 d The opinlon ol an lndspsndenl qualilied public accounlanl ls not (l) fl nis form lsliled for aCCT, PSA,orMTIA. (2)[ allached because: It will be attached to tho next Form 5500 pursuant to 29 CFR 2520.104-50. Compliance Questlons CCTs and PSAs do not complete Parl lV. MTlAs, 103-12 lEs, and GlAs do not mrnpleto lines 4a, 4e, 4f, 49, 4h, 4k, 4m, 4n, or 5. 103-12 lEs also do not complele lines 4j and 41. MTIA9 also do not complet€ lino 41. During the plan year: Was there a lailure lo lransmil to the plan any parlicipant contributions within ]he time period described in 29 CFR 25{0.3-102? Continue lo answer ryos' for any prior year lailures until lully conected. (Sso lnslructions and OOL's Voluntary Fiduciary Corection Program.)..... Were any loans by the plan or lixed income obligations due the ptan In defaull as of the close ot the plan year or classified during lhe year as uncolleclible? Disregard participant loans secured by participani's account balance. (Altach Schedule G (Form 5500) Parl I if'Yes' is chacJ<ed.). "...,...,. Schedule H (Fom 5500)20'12 Yes No Amount c Were any leases to wfiich the plan was a party ln dofault or dasslfied during lhe year as uncollectible? (Attach Schedule c (Form 5500) Parl ll iI Yes'is checked.) ....."..,...........4c x d Were there any nonoxempt lransactions wilh any party-in-interest? (Do not indude transaclions reporled on llne 4a. Atlach Schedule G (Form 5500) Parl lll i, Yss' is checked.)........... O Was this plan covered by a fidelity bond?,..,....,,,............. 4d x 4e x 2, oo0, oo0 f Did lhe plan have a loss, whelher or nol reimbursed by lhe plan's fidetity hnd, lhat was caused by fraud or dishoneslf .....,..,.....4t Did the plan hold any assets whoss orrrenl value was neilheileadily determinable on an established mar*el nor s9l by an independont lhlrd parly appraiser?....,............. sl 49 x h Dld the plan recelve any noncash contributions wlrose value was neilher readily determinable on an established maft€t nor sel by an independenl ftird party appralser?......... I DiO me ptan have assets held for investrnent? (Attaclr schedule(s) ol assels if Yes" is checked, and see inslruclions for formal requiremgnts.)... ,.;.,r..,..,.,1r!,*..,.,. 4h 4t )Were any plan lransaclions or series of lransactions in excess of 5% o[ lhe cunent value of flan assels? (Attach schedule of lransactions i[ Yes' is checked, and see instructions for formal reqUirernenls,)..............,..4i x Were all the plan assets olther distributed to particlpants or beneficiaries, fansfened to ano{hsr plan, or broughl under the control of the PBGC?........-,.... k 4k x I m Has lhe plan lailed to provide any benofil when duo under lhe plan?.,,,..,........... lf this is an indivldual account plan, was there a blackoul period? (See instructions and 29 cFR 2520.101-3.)-.-... lf 4m was answpred 'Yes,'check the 'Yes" lrcx if you eiher provided tha required nolice or one ot lhe exceptlons to providing the nolico applied under 29 CFR 2520.101-3............ n 4t x 4m 4n 5a 5b Has a resdutio lo terminale tho dan been adopled duritE the plan year or any pftr dan yean lf5fes,'enlerlhearnorntofanyplanassslslhatrevertedtotheemployerhisyear,........,........ , ... 0 Ves flHo Amount: lf, during this plan year, any assels or llablliti€s wero kansfensd ftom this plan to arElher plan(s), ldenlify the plan(s) to whlch ass6ts or liabiliti€s wsre lransferred. (See lnslruclions. ) Sb{l) Name ofplan(s) Retirement Pl-an for Employees of Aquarion PartV lTrust lnformatlon 8a Nama of trusl 6b Trust's EIN 2012 0€parliMl ol Lrbo.fhls Form ls Open to Publlc lncpscllon.AdrDlnisar8ilof, For calendar or fiscal A Name of ptan 002 r Resources Inc. C PIan sponsor's name as shown on line 2a of Form 5500 United l,Jater Resources Inc, Part I I Distributions All referancos lo dlslrlbullons rolate only to paymenls ol beneflts durlng the plan year, I Total value ot dlstribuliors paid in pmperty other lhan ln cash or lhe forms of property spedlled In the 2 Enler lhe EIN(s) of payor(s) who pald benellts on behalf of lhe plan to participants or benefciafes dudng the year (if more lhan lwo. enter ElNs ot the Mo payo6 who pald lhe grealesl dollar amounls of benefils): 13- 3 58 904 4 Prolit-sharlng plans, ESOPs, and stock bonus plans, sklp llne 3. 3 Number ol parlicipants (living or deceased) whose bensfils were dislributed in a singlo sum, during lho plan Part ll FUndlng lnfOfmatlOn (lt tha plan ls not sublect to lho mhr'mum tunding requlroments of secuon of 412 ol lhs Intemal Revenue Code or ERISA section 302. sklo thls SGHEDULE R (Form 5500) Depsrtnml oaUe freury lnlEmal RcwDUo $srvl€ OMB No. 1210.0110 D Employer ldenlification Nunrber (ElN) 22-2441477 Ye3 Day_ Year schedule, I v""Iro Ino EIN(s): ls the plan admlnlshator rnaking an eledbn undrCode sedion 412(d{2) or ERISA sedion 302(dXA?............,.........,., lI lhe plan ls { deflned benefit plan, go lo llno 8. lf a waiver of the mlnlmum funding standard for a prior year ls being annrlized ln lhls ptan year, see instructions and enier lho date oI lhe ruling letter grantlng the walver. Date; Month __ lf you complotod llno 5, complolo llner 3, 9, and 10 ol Schedule MB and do not complete lhe remalnder of thls 5 a Enter lhe minimum required conlribution for thls plan year @ude any prioryear accumrfabd funding b Enter the amount contdbuted by lh€ omployer lo lhe plan lor lhls plan year...........,. c Subtracl lhe amount ln line 6b from lhe amounl ln line 8a. Enter lhe resull (ente. a mintls slgn to he letl of a negallve amounl) ...,...,.... lf you completed llne Gc, sklp llnos I and 0. 7 Vltll tho mlnlmum funding amount repoded on llne 6c be mel by the tunding deadllne?........................ No Retirement Plan lnformation This schedule ls requked lo be nled undor secton 104 and 4065 of the Employee Reliremenl lncome Security Act of 1974 (ERISA) ond section 6058(a) of lhe lnlemal Revenue Cods (tho Codo). ) Flla es an attachment to Form 5500. lf a chango in actuan:a! csst meurcd was made for lhls plan year pursuanl lo a revenue proc€dure or olher aulhority providing automallc approval for lhe change or a class ruling letler, does the plan sponsor or plan admlnlslrator eore6 wilh the rhafioe?.---.,......"...-..-.... Part lll I Amendments 9 lf Urf ls a dellned benehl penslon plan, were any amondmenls adopted during thls plan year lhat lncreased or decreascd lho value o[ benellts? !f yes, check lhe appropriate box, rf no, check the ,No. box............, I Incr"us" I oecrease I eot I Ho Part lV ESOPs (see lnstructlons). lf this is not I plan desc.ibed under Section 409(a) or 4S75(eX7) of lhe lntemal Revenue code, 10 Were unallocaled amploygr seaJrlilos or frorn the sale of unallocated securilios used to loan? ,,.........,, 11 0 Does lhe EsoP hold any pruferred slrck?....................Yes b tt the ESOP has an outstarding exompl loan with lhe emplolor as lender, is such loan pad of a "back-tobadf loan?Ivee u 12 Does O6 ESOP hold stock lhst ls not tradable on an eslablished securitries markel?. R (Form 5500) 2012 B N'A No v, 120120 Paporwork Act Gonlrol Numbers, see lhe lnstructlons tor Forrn 5500. Scfiedule R (Form 5500) 20t2 -- I 3 Enter the fotlo,ring lnformallon for each ensoyer lhat oonbibuted mors than 5% of lotal conlributions to lhe plan during lhe plan ycar (measured ln * 4,gllard. qee ins]gcliofls, @&preta a.s many en n-b-s.ag {reed"?-{.lo rerqrl a,, qoorrcaDre empfol.o/s. a Nam6 of contdbutlng ernplcyer b EIN c Dollar amount contributed by employer Day Year € Conlrtbulion rate informatm (tl mMe than one rate appltos, checft lhls boxfl and see inslrucllons rcgarding requircd allechmonl. Olhe'Filse, $lmplsle lkos 13o(l) aN 13e(2).)(l) ConlribuUon 1610 {in dollars and cents) --" iri qurrurgn'eg9e'9ifl !9"ny [l d oate collective bargalning agreement explrc s (ll enployer lxtnliDriies undar morc lhen one mlleMve baryaining agreemant, check box fJ and soa r'nstruclions reqaftlino rcwhed allachment Olheruise, enler lhe applicable dalo.) Monlh d Name of contdbullng employerb rrru c Dollar amount oontributBd by employer e Conbibution rate informalion (lI more lhan one @te applies, check this boxland see inslruclions regarding reguked allachmenl. Oltrzwisa, @mpleto lines 13e(1) iltd 13e(2).)(1) Conlribulion rate (irr dollars and oents) _ - . . iai s"se ,ntt mrrrr,L, il Horay n weAf-TJ unit ot pro,Juctim n _ohajJ*pedry)!:- d Dale collective bargaining agreemed expire s (lt emploq @nlnbules uhder more lhan one colbcliva baealning a1rreemenl, check boxfi andsee lasfnlcttvrs rcoardlna requhed atlachment. Olrlerwjso, enlet ilro applicaD/e dalo.) Month Day Year a Name of conlributing employer b EIN G Dollar amount contrlbuted by employer d Dafc colloctive bargalning agreement explr es (lf emfloyercontibutss under more lhan one colleclive bxgaining qreemenl, clrcc| boxf ard seo Inslrucliow rcsatdins raquired allachment. Olheruise, onte/, Ihe applicable date.) Mmlh Day Year e Confibuuon rate lnformation (!f nwe lhan one nle applies, clreck lhis box[ and see /nslruct/on s rcgarding rcquirod attachmenl, Olherw'sq complele lines 13e(1) and l3e(2).)(1) Contribullon rat6 {in dollars and ccnls)irt Baso untt measurr,fl Hot,*v n w".kly Tl unitof rroduction [1 other (soedtu]i a Name of ontributino emolover b EIN c Dollar amount contdbuted by emplryer d Date collective bargalnlng agreement oxpire s (ll emphyer onblbules undar morc han one rrllleclivo haryalning agnemenl, check boxl andsealnrlarclirns reoardinorxuircdellechment. Ofilorwis?. elilerlho aoribabledale.) Month Dav Year O Name ol oonlribulino emoloyer e Contribu[on rate intormallon (lf mon lhan one rato apprbg check this Dox[ and soo inslruclions ragarding mqulrcd ellachment, Olrrerwbe amplale llnes 13e(1) and 13e(2))(1) Conlribution rete (in dollars and c€nts) __(2lBaseunitmeasure:flHourlyIw*n;--nUnilofproduotion[lother(specj0):- b EIN c Dollar amountcontributed by employer d Date colleclive bargalning agreemont ex;ires (r, omployet lrlnlribules undet morc lhan one evlleclive bargainlng ageemonl, check boxl and see lnslruclions rcoardino oouired sllachnottl Olfienvrbe, enler llrc wplicablo dale,) Month Day Year g Conbibuuon rate informatlon (rI morc lhan one rcle applles, check ltris Dox[ and see rnslruclio ns regarding roquied allehment. Olhema'sq amplela lines l3e(1) and 13e(2).1(1) ContribuUon rals {in dollars and 6,rls)iri Base unit moasur,l-l Hourty n a Namo of conlribulina employer b EIN C Dollar amount cont ibuted by emdoyer d Date collec0ve bargaining agreernant exefies (tf employor conllbules undar maro lhan one collealive bargainlng apemen!, cnack boxfl and sea raslnrjlm,s noerlim rcouJod el|prchmenl. Olheruise. enter lllm aoolicable date.l Month Dav Year B Contdbution rate lnformalion (lf more lhan ona rate applies, check llurs box[ and see lnsttuclions ragardlng requlrod allachmant. Olherwiso, c,,rqolele lines 13e(1) and 13e(2).) (21 Base trtit Hourly Unii ot producllon (1) Conlribution rale (in.d_ollars and Schedule R (Form 5500) 2012 Page 3 14 Enter the numbor of parlicipants on wtrose behslt no contribufons were nrade by an employ€r ss an empbyer of lhe partlclpant for: b The plan year lmmediately precsdlng the drnent plan year.....,..., G The semnd Enter lhe ratio ol lhe number of parllclpants under the plan on whose behall no smployq had an obligatrbn lo make an employer contribution rlurlng the curr€nt plan year to: a Thecorrespondingnumber{ortheplanyearimmedialelyprecedinglhecunentplanyear..........,,,,,.,,,..,....... b The srrespontlhrg number for lhe second prsceding plan year. 16 lnformalion wilh raspect to any employers who rvilhdrew horn the plan during lha precedlng plan year: a Enbr th€ number o[ employers who withdrew during the precedlng plan year b tt line 16a is grealer lhan 0, enler the aggregate amount of withdrawal liatritity assessed or esllmaled to be 17 lI assets and liabilities ftom anolher plan have been lransfened to or merged wilh this plan during th6 plan year, ctreck box and sae inslnrctions regar<ling Part Vl and 18 lf any liabilities to parlidpanls or lhelr benefidarles under the plan as of the end of lhe plan year conslst (in whole or in parl) of liatrilltles to suctr participants and benoficlarias under hvo or more penslon plans as gf lmmedlately before such plan year. check box and see instructions regardlng supplamental l9 lf lhe lolal numbor o[ parliclpants ls 1,off] or more, complete Ines (a) lhrougft (c) a Enter the percanlage ofplan assets held as: Slock: . .--33_o/o lnvestment-Grade Debt: 39 7o H(h-Yield Debl:. ,.. L2 o/o Roal Estate: -b Provide tho average duration of lhe comblned lnveslnlent{rad€ and high-ydeld debt: I o-syeans I s-oyeur* fi o"sy""r" I s-tzy"rrs I tz-rsyuuo I t+toyaars Ic What dura[on m*a$uro was used lo calcnlato line 19(b)?. 8f1r1o,ryn""',." *Ilu.f SpeSj_ryl: for o/o Other:L6 o/o 18-21 years [ 21 years or more Form5500 Oopsrtmnl o, lhe Treaaurylnleilal Revsue S€d{6 OMB Nos, t210.01 l0 1210-0080 2013O€patHt of L€bor Employoo Benolirr S@dVAdmhblralid A Thls return/report is for: B Thls retum/reporl is: C lf the plan is a collectivel; D Check box ll filing under: ldsntlf lcatlon lnformatlon a multiemployer plan; [l a single-enployer plan; a mulliple-employer plan; or a DFE (specifo)_ Thls Form ls Open to Publlc I c Etfeclive daie of plan 05/L2/7947 Employer ldentilicallon Number (ElN) 22-244L47'7 Sponso/s telephono number 201 ) 767-9300 2d Business code (see inslructlons) 227300 Perobo Bcnofil Guaranly Corporaum I me nrst rsturn/report I the linal retumk€pod; fl an amen<led retum/report; I a short plan year retum/repori (lsss than 12 months). fl automatic extension;! rne orvc program; Threedigit plan number (PN) > extenslon (onl€r desc,iplion) Part ll I Baslc Plan lnformatlon--.entoratl NamB oFplan UniL.ed I'Iater Resources Retirement PIan Plan sponsor's name and address; lnclude room or suite number {employer, i[ lor a single-employer plan) United I'Iater Resources fnc, 200 Old Hook ltoad Harringl-orr Park NJ 0764 0 Gautlon: A psnalty for the lale or lncornploto flllng of lhls return/report wlll be asssssed unless reasonable cause is establlshed, Annual Return/Repod of Erttployee Benefit Plan Thls form is requked lo be filed for employee benelil plans under seclions 104 and 4065 ol the Employeo Retirement lncome Security Act of 1974 (ERISA) and scctions 6047(e), 6057(b), and 6058(a) of the lnlemal Revenue Code (the Code). ) Complele all entries ln accordancewlth the lnstrucllons to the Form 5500. C lf theplanisacolleclively$argalnoddan,checkhere. ...........r B under penaltios ol pcrjury and olhsr pe,lallios $61 lorft ln lha lnglfuolions. I declaro that I have examh€d thlg rolum/rcport, induding accompanylng sotedulss, slatemsnls and auachn)6nts. qs woll as hs cleclroRic ysrsion of lhls retumfrupo( and lo lhe best ot my knowledge and belief, it is lrue, correcl, and complets. SIGN HERE ${wthat lolrs-ll*Marie C. l'Jauqh 6 tir n a tu r/ot olfn all-mtnlslra lor Dalel Enter name of individual sionino as olan admlnlslrator SIGN HERE i#W,a/k-loh.r-l/.1 M*nre C.,tJoue++-ston"trr. J/{-olover/olan soonsor Date Enler nam€ of individualslonino as emolover or olan soonso. SIGN HERE t/ Slonalure of DFE Date Enter name ol individual slanina os DFE Prcpareds name (including firm name, lf applicsble) and address; includo room orsuil! number, (optional)Propar€f! lelephone nurbor (opt'ronal) 5500.ormsgo v. l30l 18 Fom 5500 (2013) 130118 PagB 2 3a Plan adminlstralor's n4ne and addrsss as Plan Sponsor Name as Plan Spoilsor Address lf the name and/or EIN of the plan sponsor has charged since lho last r€tuny'report filed lor lhis plan, enter lhe name, EIN and the plan number ftom lhe last returnfeporl: Spongo/s name 5 Totat number of parlicipants at ths beginntng of lhe plan year 6 Number ol parllclpanls as ofthe cnd ofthe plan year (welfaro plans complete only lines 6a, 6b, 6c, and 6d). c Other retired or geparated parlicipants entitled lo future benefits..............,.,.,.., g Decsasodparticlpantswhossbeneliciariesareteceivingorareentilledloreceivebenefits.............. g Number of padiclpanls with account balances as of the end of the plan year (only defined contribution plans h Nurnber of parlicipants lhat terminated employmenl dun'ng the plan year wlth acqued benefils that were 3b Aomiristrator's etN 3c Adminislrator's talephone number 4b EtN 2, 631 950 PN 9.19 312 2, 368 ?29 2,596 7 Enter lhe total number of employers obligated lo contributo to lhe plan (only mul[employer plans complets lhis ltem)...... lf tha plan provides pension benelits, €nter lhe applicable pension fealure codes from (he List of Plan Chsractedstics Codes ln lhe lnstructions:1A 3H b lf the plan provides weltare bonellts. enter the applicaHe welfare fealure codes [rom lhe List ol Plan Characteristlcs Codes in lhe instructions: 9a PIan funding arrangernenl (chcck all that apply) lnsuranca Gode seclion 412(e)(3) insuranco contracls Trust General assets of the $Bsnssr 10 CneclallapplicableboxeslnlOaandlObtolndicatowhictrschedulesarea(tached,and,wherelndicated,enterthonumberatlached. (Seeinslruclions) a Penslon Schedules b General Schodules(1) I R (Retirement Plan lnformation) (2) t] MB (Mulliemployer Oelined Bonefrl Plan and Cerlain Money Purchase Plan Actuanial lnlonnalion) - signed by lho plan actuary (3t E SB (Single-Employer Dofined BeneEt PIan Actuarial lnformallon) - signed by the plan acluary (1) E H(Financiallnformation) (1) (2) (0) (4) (2) t] I (Financlal lnformation - Small Plan)(3) ll - A(lnsurancelnformation)(4) Fl c (Service Provider tnformation) (5) E D (DFE/Parliclpaling Plan lnformation)(6) u slll:EatT:1c_qs jglggu*l SCHEDULE SB (Form 5500) OepartHt oi lho T.E6uyblmel Rowo goftiao ocpa]llr€nl o, Lsho. EmDloE6 Benefi t3 Seatity AdrrrlsLallm C Plan sponsor's name as shown on line 2a of Fomt 5500 or 5500-SF United I'Iater ResouJces Inc- D Ernptoyer ldentilic€tion Number (ElN) 22-2441417 OMB No. 1210-0 110 2013 This Form ls Open to Public lnspeclionPenshf, Benofit GuEnty CqDo.alim i9.r:9l9!9erd$-v"orr"?"q1,9"-oi-[sgil8s-H"9-qs]lryqs "_""9))/9L/ -2913 ^^* ande1dilr$*.. _. 12/3.1,12CIL3 ) Cautlon: A of $1,000 will bo assessed for late unless reasonable cause Is eslablished. A Nama of plan United l'later Resources Inc. ReLirement PIan E Typeordan: pl Sinsle | | Mul[fl*A MullipleS F Prioryearplan size:100orfa,ver I I t01-5{n Moro lhan 500 Partl I Basic lnformatlon I Enter lhe valualion dats:Day 'Year 2 Assels: a Market value 226 811 931 225 ,283 311 Funding largeUparlicipant counl breakdown: a For relired participants and beneficiaries receivlng paymenl 140 286, O2B b For lerminatad vested participants.,,.,...,,...,...,,,,.., C For active particlpants: (1) Non-vested benefi|s.............1 ,9lt 843 90 080 113 97 ,991,956 637 259 071 177 4 lt tne plan is in at-risk stalus, check the box and mmplete llnes (a) and (b)....... .............. .... .I a Funding targel disregarding prescribed at-risk assumptions.........,............ b Funding target renecting at-risk assumptions, but dtsregarding t ansition rule for plan$ lhat have been in 6,32 Yo 1 ,949,834 Statement by Enrolled Acluary trnbrratim, otTor my bcrt cthlata of snticipalcd oxpeden@ unde, lho glatr, SIGN HERE LO/74/20]-4 Signature o[ acluary Lorraine Halpin 2A ,1 93 193 Date 14-06 / i 5 Single-Employer Defined Benefit Plan Actuarial lnformation This schedule ls required to be filed under section 104 ol lhe Employee RetirBmenl lncome Security Acl of 1974 (ERISA) and sectim 6059 of lhe lntemal Revenue Coda (lhe Code). ) Flle as an allachmenl lo Form 5500 or 5500.SF. > Round otf amounls to nearest dollar. Type or print name ol acluary Towers glaLsor: Delar.rare Inc, Most recent enrollment number (9'13t 2e0-2500 Flrm namB B Campus Drivc4th FfoorrglqlPru"y .-. *._ .. .. }u 070s4 ..._ .._..._.-------AdAA;s offfiTrm* Telephm€ number (including area mde) l, lhe actuary has not fully renecled any regulaUon or ruling promulgated under the slalule in completing this sctredule, check he box and see see lhs ln foi Form 55m or Srhedglo SB {Form Schedule SB (Form 5500) 20,13 Part ll of Year and Balances 7 Balance at beglnnlng of prior year affer applicable adJuslments (line 13 lrom prior 8 Porlion olected for use 1o offsst prior year's funding requiremenl (line 35 from 9 Amounl 7 mlnus line 8)...,.......... 10 lnterest on line I aclual return of 1 1 Prior year's excess contribulions to be addod lo prefunding balance: a Prssent value ofexcoss contributions (line 38a lrom pdor year) b lnterest on (a) using prior year's effeclive interesl rat" ol 7 ' 01.if e*.ept as olherwise providcd (see lnslructions)..,,.....,.,.............. c Total availa lre at beginning ol o.rrent ilan year to add to prefundng bahflc€ ......... -." *- d Portiol of (o) to be ad{gd to prstuading.balance.................,,.::.:::,:.::.: ::::::::- 12 Othar reductions in balanc€s due to elections or deemed e|ections..........,.......... 13 Balance at oI current I + line '10 + lino I 1d - line 12)............, 15 Adlu$ted stlalnnr6nt 1 6 Prior year's funding percentago for purposes of determining whelher carryover/prefundin0 balances ntay be used to reduce cUrrenl 17 lf the cilrrent valuo of the assets of lhe plan is less lhan 70 percenl of the funding larget, enter such perc€nta96......., Pad lV I Contrlbullons and Shortfalls 18 Conlribulions made to the ptan for th6 and employess: L'79194*-----7xtm6 tr 89, 86 % (c) Amount paid by(a) Oate a Conkibutions allocated loward unpaid minimum requlred contrlbutions frorn prior years. b Contribuliorrs nrado to avoid restriclions adlusled io valuation date .......".... c ContrihJtimsallocatedtor,/ardnrinimumrBqukedconldbulionforcurtentyearadiu$tedlo'raluatir:ndate.,,.......,......,, 20 Quartedy mntributions and liquldity shortfalls: b lf line 20a is -Yes,'r,rere tequired quanerly installments for the cunent yoar made ln a timely manner? c lf line 20a is Yes,'see instructions and complete tho following table as applicable: Part lll 30,91'1 ,904 19 Dismunted omployer contrtbutions - see lnstructions tor small plan wilh a valuation dat€ alter lhe beginnlng of th-e_ shorlfall as of end of of this ol Schedule SB (Folnr 5500) 2013 130'1 18 Page 3 Part V lAssumptlons Used to Determlne Fundlng Targ*t and*farget Normal Gost ,. .. ,,,,, .21 Dlscount rate: a Segmsnt aates:I Hn, rutt yeto curve used b Afpli(dHs month (€n-t6r cod*)...:r.,"......:::.::::::j::j:::--*-.:...-i:,,:.-...::::::::r::: 23 Mortality table(s) (seo inslructions) Part Vl lMlscellaneous ltems 24 Hasachangebeenmadeinthenonjrescdbedacluarialassumptimslorlhecunenlplanyear? lf'Yes,'seeinslruclionsregardingrequtred 25 ttas a melhod change been made lor the arrrent plan year? lf Yes,' see inslructions regarding requlred attachm6nt.,....., 26 ls the plan required to provlde a Schedule of Active Parlicipants? lf Yes,' see lnslructions regarding r€quired atlactlment. 27 lf the plan is subJect to alternative fundlng rules, enter applicable code and see instructions tegarding Part Vll I Reconciliation of Unpald Mlnlmum Resulred Conlrlbutlons For Prlor Years 28 Unpaid mlnimum required cont ibulions for all prior 29 emploler conlributions alloc€led toward unpaid minlmum requked contributions ftun prior ycars arnount o[ {nsald mlnimum required conlributions (lirm 28 mlnus Jine 29) .,............. Minlmum Gontribution For Current Year normal cost and exc€ss ass€ts (see instructions): b Excess assets, if applicoblo, but not greater lhan lins 31 a 32 Amortlzation installments: a Net shodfall amortizaiion installment...,...... b Waiver amortization inslallment 33 lf a walver has been approved for thls plan year, enter lhe dale of the ruling letter granting lhe approvel (Month _ Day _ Year -) and the waived amount ....,,......, 34 Total funding requirenrent tnfore roflscting c€rryover/prefunding balances (lines 31a - 31b + 32a + 32b - 3{!) Tolal balance 35 Balances elected lor use lo ollsel fundlng requirement.,,.,,,.....,,... 37 Contributlons allocated toward minlmum required conlribution forcurenl yeil adjusted to valuallon date 28 , 680,'l 4B *3-9_ptes"nturt,gq{*"qo _1o:curr9uyBjltgggln$t(ugljgle} 3--1g!e.l t*cS,"::-l!_t.y, "J lile.gl_". '. ::::::ir::;r:.::;.:::::i::::::::--r.:.::.::::::::::_::.: b Ponion included in line 38a attributable to use ol prefunding and funding standard aa,rylsvar balences 39 Urpstd mlnimum requlred contfibu$on for cunent.year (o{gss, if.any, o'1]!1916 ove{e i}4-:r:::.:::::::::: conlributions ror all Part lX I Penslon Fundlng Rellef Under Pension Relief Act of 2010 ($eo lnstructlons) Disoountad {line l9al.., 3rd segmenl: 6.7 6 0/o 41 lt an aleclion was made to uso PRA 2010 lunding relief for this plan: b Eliglble plan year(s) for which lho el€ction in line 41a was made ...,.,.,........ SCHEDULE C (Form 5500) Oepartrunl o, the tr€asury lnlEanrlR*mue SoM'@ OeparlrHl ol Labq Employ@ B€nenB Su,lty Adtriiillrruon Ped:ho :or q3tgnd-ar plilJgr 20'13 or fi.scal A Name of ptan Jni ted l,Jater Resources Lnc. Retirement Plan OMB No. 1210-0110 2013 Thls Form lc Open to Public lnspectlon, C Plan sponsor's name as shown on line 2a of Form 5500 Jnitcd I'Iater Resourceg Jnc. Emptoyer ldenlilication Number (ElN) 22-2441.47'l lee Provider lnformation (soe lnstructlons) You musl complete this Parl, in accordance with the instructions, to raport the information requlred for each person wio received, directty or indkectly, $5,000 or more ln total compensatlon (i.e., money or anylhing else of monetary value) in connaclion with seMces rendered to lhe plan or the person's posilion rvith the plan during tho plan year. lf a person rec€ived only eligible indirect compensation for whlch the plan received tho requlred disclosures, you are required lo answer line .l but are nol required to lnclude that person when completing the renrainder ol thls Parl. 1 lnformation on Persons Receivlng Only Ellglble lndlrect Compensatlon a Check "Yes" or "No" to lndicate whelher you are oxcluding a person fronr the renrainder of this Part because they received only eliglble indirect mmpensation for which the plan recelved the requlred disclosures (see lnstructions for definitions and mnditions),. . . . . . . [l Ves [ ruo b lt you answered line 1 a 'Yes," onter the nams and EIN or address of each porson provldlng the requlred disdosures for the service providers who received only eligible indkect mmpensallon. Complet€ as many entries as needod (seo Inslruclions). (b) Entcr name and EIN or address of person who provlded you dlsclosures on eligible lndkocl @mpensalion Service Provider lnformation This schedule ls required to be filed under section 104 of lho Emplope Retirement lncome Security Acl of 1974 (ERISA). ) Flle as an atlachmeni to Form 5500. National Financial Services 04-3s23s57 Enter namo and EIN or address of person who provlded you disclosure on eligible lndirect compensallon (b) Enter name and EIN or address of person who provlded you disclosures on eliglble indirect compensation (b) rnter name and EIN or address ol person w1rc provlded you disc,losures on eligible indirect mmpensation For Papenrvork Reducllon Act Notlce and OMB Control Numbers, eee lhe lnstrucllons forForm 5500 Schedule C (Form 5500) 2013 v.1 3011E Schedule C (Fom 5500) 2013 l30llB (b) Enter name and EIN or address of person who provlded you dlsclosur€s on e.tiglble indhect compensation (b) Enter namo and EIN or address of person who provided you dlsclosures on ellglble lndlrect compensation (b) Enter nama and EIN or address of person who provided you disclosures on eligible indirect compensalion (b1 enter name and EIN or address of person who providad yol disclosur€s on oliglble indlrecl compensation (b) Enter name and E[.] or address of pereon who provided you disclosures on eliglble indkecl compensatlon (b) enbr name and EIN or address ot person who provided you disclosures on oligiblo lndkecl compensah'on (b) enter name and EIN or address of person who provided you disclosures on oligible indirecl compensalion (b) Enter name and EIN or addrsss of poraon who provlded you disclosures on eligible indirect compensaUon Schedule C (Form 5500) 2013 13011I Page 3 2, lnformatlononOlhgrServlceProvldersRecelvlngDlrectorlndlrectCompensation. Exceptforthosepersonsforrvhomyou answored 'Yes" to line 1a above, complele as many entries as noeded to list each person receiving, dlrectly or inditectly, $5,000 or more ln totral compensatlon (1.e., money or anlhlng else of value) in connection rvith services rendered to the plan or thek position wilh the plan during the plan year. (See lnslructions)" (a) Enter name and EIN or address (see inslnrctions) AON CONSULTING 22-222t888 (b)Service Code(s) 11 50 (c) Relalionship to employer, employee organizalion, or person knowr to be a party.ln-inler€st (d) Enter direct compensalion paid ry the plan. ll none enter -0-, (e) Oid service provider receive indirect (0 Did iodirecl compensalion include ellgible indirect componsation, for which lhe plan received the required disclosures? (s) Enter total indirecl compensalion received by service provlder excluding eligible lndlrecl rcmpensalion lor whlch you answered "Yes" lo el€mont(f). llnone,enter-0-. (h) Did the service :rovider give you a formula inslead of an amount or lsllntaled amount? u [PEr rlauur r i lluut ws other than plan or plan sponsor) NONE 58,668 vesfl ruofl vesfl No[ves I tto I (a) Enter name and EIN or address (see instrucllons) TRANSAMERTCA RETIREMENT SOLUTIONS 13-3689044 (b)Service Code{s) 21 50 Relalionship lo employer, employee organization, or person knoiln to be a parly-in-inlerest (d) Enler dkecl compensation paid :y lhe plan. lf none enter -0-. (e) Did service provider receive indlrecl compensation? (sources olher lhan plan or plan sponsor) (f) Did indkect compensation include eligible lndirect compensalion, for vihich the plan received lhe required disclosures? (g) Enter lotal indlr€ct compensalion received by servlce provider excludlng eligible lndirect @mpensation for which you answered Yes' to element (f). lfnone, enler-0., (h) Did the service providsr givs you a formula instcad of an emounl or 0Slimaled amounl? NONE 101, 358 ves I r.ro I vesI uoI 0 ves @ ruo f] (a) Enter name and EIN or address (s€e Inslructions) TOWERS I.IATSON DELAI,IARE INC. 5.3-0181291 (b) Service Code(s) 11 50 (c) Relalionship lo employer, employee organization. or p€rson knovm lo be a parly-ln-inleresl (d) Enter direct mnrpensation paid :y the plan. lf none enter -0-. (e) Did service provlder recsivB indirect contpensation? (sourcss othor than plan or plan sponsor) (0 Dld lndkect conrpansation include eltglble indirect contpensalion, for vrhich the plan received lhe required disclosures? (s) Enter lotal indirecl compensation received by servlce provlder excludlng eligible indirect tompensalion for r.rhich you ansrvered'Yes' to elemenl (0. lt none, cnter -0-, (h) Did the seMc€ xovlder give you a formula [nstead of an amounl or !*timated amounl? NONE {04,831 Yes[ NoE vesfl No[ves I tto I Schedule C (Fom 5500) 2013 130118 Page 3 2. Informatlon on Other Servlce Provlders Receivlng Dlrect or lndirect Compensatiotr. Excepl for lhose persons for whom you ansvrered "Yes" to line 'ta above, mnplotc as many entries as needed to list each person recelving, direclly or lndirectly, $5,000 or more in tolal compensa(ion (i.e., money or anything else ol rralue) in @nnection wilh services rendered to the plan or their position vlth the plan du,ing the plan year. (See instructions). (a) Enter name and EIN or address (see instructions) APPLIED PORTFOLIO MANAGEMENT, INC, 22-2349r25 (b) Service code(s) 28 50 (c) Relationship to enployer, employee organlzation, or person knorvn lo be a party-in-lnterest (d) Enter direcl compensalion paid ry the plan. lfnono enler -0-. (e) Did seMce providar receive lndirect compensation? (sources other than plan or plan sponsor) (0 Did lndlrecl compensalion include ellgible lndlrect compensation, for which the plan received the requked dlsclosures? (s) Enler tolal indirecf compensalion rec€ived by service provider excluding eligible lndirect rcmpensalion for which you answergd 'Yes" lo element (I). lfnone,enter-0-. Did the service provider give you a formula inslead of an amount or estimated amount? NONE 12,204 ves I tto S ves fl tto I ves fJ tuo I (a) Enter name and EIN or address (see inslructions) t{]EISER MAZARS LLP 13-1459s50 (b) servlce code(s) 10 50 Relationshlp to employer, employee organization, or person known to b€ a parly{n-lnterest (d) Enter dlrect oompensation pald ly the plan. lf none enter -0-. (e) Did service provider receive lndirecl compensatrbn? (sources othor lhan plan or plan sponsor) (f) Did indirect compansatlon include eligible indirect compensallon, for prhlch lhe plan received lhe required disc{osures? (s) Enter total indirecl mmpensation received by servlce provider excluding ellglble lndlrect compensalion for which you answered "Yes" to elemenl(0. lfnone,€nter-0-. (h) Did lhe service :rovider give you a formula inslead of an amount or rstimaled amouni? t'l0N8 48,51,5 ves! Ho[vcs [ ruo fl ves fl uo fl (a) Enter name and EIN or address (see lnskuctions) (b) Service coOe(s) (c) RBlationshlp lo employer, employee organizatlon, or person known lo be a party-in-interest (d) Ente. dhect compensation paid ry tlre plan. l[ none enler -0-, (e) Did service provider receive indirect corrpensa tion? (sources other than plan or plan sponsor) (0 Did indkecl compensalion lndude eligible lndkect compensation, Ior which the plan received the requlred discl0sures? (s) Enter total indirect mmpcnsation received by service provider excluding eligible indkect )ompensation for which you answered 'Yes" to ebmenl(f). lfnone,enlBr-0-. (h) Did th6 sarvice provtder give you a formula instead of an amount or eslimated amount? vesfi ruo[ves [ ruo f]ves fl No ! Schedule C (Form 5500) 2013 1301'18 Pego 4- f*l Part I Provlder lnlormation 3 lf you reported on line 2 receipt of indirect comp€nsation, olhe, than eligible indirecl compensalion, by a service provrder, and tho service provider is a fiduclary or provld€s contract adminlslrator, consulling, custodial, investmenl advlsory, lnvestment managemenl, broker, or remrdkeeplng services, answer lhe following queslions for (a) each source hom whom lhe service provider received $1,000 or more in lndirect compensallon ard (b) each soutce for whom the ssrvlc€ provider gave you a ,ormuJa used to determine lhe lndirect compensalion instead of en amounl or estimaled amounl o, the indirect mmpensalion. Complete as many enlries as needed to report the required lnfonnatlon lor each source. (a) rnter service provr:der name as it appears on line 2 (C) Enter amount of lndirect (d) Enter name and EIN (address) of source of indkeci mmpeneation (e) Describe the lndireot compensation, lnctuding any brmula used to det€rmino the servlce provider's eliglbility Ior or lhe amounl of lhe hrdkect compensation. (a) enter service provld€r name as ll appears on lins 2 (c) Enter amount ol lndlrect compensation (d) enter name and EIN (address) ol s<r.rrce of indirect mmpensallon (e) Desoribe the indirect compensation, lncludlng any formula used to delermine tho service provider's ellglbllity for or lhe amount of lhe indlrect compensalion. (a) Enter service provider name as it appears on line 2 (c) Enter amount ol indkect mmpensatlon (d) Enter name and EIN (address) of source of hdlrecl @mp€nsalion (e) Oescribe ths indirect compensatiun, incMing any lormula used to detetmin€ the seMce provlde/s eligibility for or the amount of the lndirect compensalion. Scfiedule C (Fotm 5500) 2013 1301 18 Part ll I Servlce Provlders Who Fall or Refuss to Provlde lnformatlon Provldo, io lhe extent posslble,T; i"tt"rrl.g i.t;;iii, f.*;.L ."M* pr"ffi;r *h" friidffiG"o r" prouo. rt e f nformti"n ,*;..a'y t" *mptete 5.il (a) Enter nama and EIN or address of seMce provider (see lnslructions) (a) Enter name and EIN or address of servlce provider (s6e instructions) (a) Enter name and EIN or address ol seMce provider (see instructions) (a) enter name and EIN or address ofseMce provider (see lnstruclions) (a) Enter name and EIN or address of seMce providor (see inslructions) (a) enter name and EIN or address of servlce provlder (see instruclions) (c) Describe the lnformation that lhe service p,ovider fall€d or refused to provide (C) Describe the Infomration lhat the seMce provider failed or rafused to provide (C) Oesoibe the informatim that the seMce provider failed or relused to provide (C) oescdOe the information that lho service provider failed or refused lo provide (C) Describe lhe Information lhal the servico provider failed or re[used lo provide (c) Desoibo the information that the seMce provider failed or refused to provide Schedule C (Fom 5500) 2013 130118 raee6.fl Termlnatlon lnformailon on Accountanh and Enrolled Actuarles (see lnstructlons) as malw enlries as b EN:22- Address: Aon Her.ritt 4OO ATRIUM DRIVE, 5TH EI,OOR SOMERSET Explanation: CORPORATE DECISION TO CIiANGE ACTUARIAL EIRMS NJ O8B?3 Explanallonl Exptanalion: Explanation: Exdanallon: SGHEDULE D (Form 5500) Oolsrmot ot lho TrEsury lnlolnal i0{qlsr Sofr{ca DFE/Participating Plan lnformation This schedule is roqulred to bo filed under secdon 10.1 of lhe Employee Reliremenl lncome Security Actof 1974 (ERISA). ) Flle as an atlachment to Form 5500. B Thr8edlsit OMB No.1210-0110 2013 Ooparlmml ol Labo, Employ6e Bcnsfi b Sed,lty Adnlnblnl,of, A Name of plan United trlatcr Resources Inc. Reti,rernent Plan G Plan or DFE sponso''s name as shown on line 2a ol Form 5500 United 9later Resources fnc. Part ! Thls Form lo Open to Public lnspaclion. nunber (PN) D Employer ldentiJicalion Nunrber (ElN) 22-2441411 on lnterEels ln MIlAs, CCTs, PSAs, and 103.12 lEs (to be complstsd by plans and DFEs) as manv enlries as needed to rooorl all interests in DFEs d NarneolMTIA, CCT,PSA, or 103.12|E:COMMON COLLECTM TRUST FUND ryiStedin(a):TRANsA.t4ERICARUTIREIqENTsoLUTIoNS c E|N.PN 13-368e044 OO{ d*213, 025, 623 a Name o, MTIA. CCT, PSA, or 103-12 lE: b Name of sponsor of entlty listed in (a): .-: t'*-'*,,,. *-.*- a Name of MTIA, CCT, PSA, or10312 lE: b Name ot sponsor ol entU listed ln (a): C EIN-PN I mde I 103-12 tE al end of vear {seo irrlructionsl - ? Nameof MTIA,CCT. PSA,or10$12 IE: b. Name olsponsorof entity listed ln (a): a =,r-riu a Name o, MTIA CCT, PSA, or 1(E-12 lE: b Name of sponsor of entity lisled in (a): "j'":f' . .- . f, Name of MTIA, CCT, PSA, or 103-i2 lE; b Namo ol-oponsor of enlity.lisled in (a):::'"^_-1' a Name of MTIA, CCT, PSA, or 103-12 lE: b Namo of sponsor of entity lisled in (a): € Oollar value ol lnterest in MTIA, CCT, PSA, or 12 lE fit end o,C EIN.PN ConFd l{rsr{rors. 6ee lhe 5900. Schedulo D (Form 5500) 2013 130'1 18 Page2 - [---_l a Name of MTIA, CCT. PSA. or 10!12 lE: a Name o[ MTIA, CCT, PSA, or 103-12 lE: b Name of sponsor of enlily listed in (a): c EtN.pN -Ta E,r J--f e Dotta,valueof interestinI code I 103-12 lE at ond ar (soo lrrslructions) a Nameof MTIA,CCT, PSA, or103.12 lE: b Name of sponsor of enlily listed in (a): : !'".r* __ ,; a Name oF MTIA, CCf, PSA, or 103-12 lE: b Name of sponsor ol enlity lislcd in (a): " =,"-r, -- ._*- a Name of MTIA, CCT, PSA, or 1O3-12l,E: b Narne of sponsor of enti(y listed in (a): " .'t-rl, a Name of MTIA, CCT, PSA, or 10$'12lE: b Name of sponsor of entily tisted in (a): ? Name of MTIA, CCT, PSA, or'l03.l2lE; a Name of MTIA. CCT, PSA, or 103-12 lE: b Name ot spoisorot entity lisled in (a): " ..]*-tr __ a Namo ol MTIA, CGT, PSA, or 103-'12 lE: b Name ot sponsor of enli(y listed ln (a): " .,1-t- a Nam€ol MTIA. CCT, PSA, or 103-12 lE: b Namo of sponsor of enlity Isted lal (a): " a,r-r* Schedule D (Fonn 5500) 2013 -"-l"g*:t**Part !l by(to t slln€6d6d lo a Plan name i plan sponsor I a Plan name b Name of plan sponsor c EIN.PN a Plan name b Name of plan sponsor I a PIan name-5-tir*..f- """--ffi ptan sponsor I a Plan nam6 b Nameof plan spon60r G EIN-PN a Plan name b Name of plan sponsor c EIN.PN a Plan name Name of plan sponsor C EIN.PN a Plan name b Name of plan sponsor G EIN.PN I Plan name b ltlrrne.f c,E-lNftlptansponsor I a Plan name b Nameof plan sponsor' C EIN.PN a Plan nama b Nameof plan sponsor C EIN-PN a Plan name b Nameof plan sponsor ---Tc ErNrN Ii SCHEDULE H (Form 5500) Dspa(n1onl ol lhc T,Bru.y Iniomal Ravmuo Sanilca oMB No.1210-01t0 Employer ldontllicalion Nunrber (ElN) 22-2441477 2013 Doparlmot o, Labo( EmrbyBe 8ono6l5 ScqrlrAdoldslrotbn Thls Form ls Open lo Publlc Pen€lof, Bonofl Swsoty I:(}r c€lon<lar A Name ol plan Unitecl 9Iater Resources Inc. ReLirement Plan C Plan sponsor's name as shown on line 2a of Form 5500 Unite<l i'trater Resources Inc. Asset and Llabilitv StatemEnt 1 Cunenl value of plan asscls €ftd liat ilitie$ et lhe beginnlng and end of lho plan Year, Comblfia lhe veluc of plrrn assets hohl in mor* lhan ons ku$i, Hoport linos 1q($) through lc(la). Do not efller lhB vslug of that psdi0rl ol in lnsuance conlrool vr{rith guaranlee*, during hl$ p}an y6ar. lo pay a spccillc dollar benolit it a luture datd. Fiound ofI amounls to th* ne*resl tlollar. tulTltu, CCTS, PSAr, and '103.12 lE* rlo nnl compl*ta linqg 1b{l}, 1bt2}- lc(S). {g, th. Assets _"" - (!!.Fnql o, Yepr - a Total noninterest-bearing c€sh.-..........,..... b Receivables (less allorvance for doublful acmunls): ('l) Employer conlributions.......... (2) Parlicipanl conlributions...,......, (3) Other.........." C Gon€ral lnvestmonts: ('l) lnteresl-beadng cash (include nroney ma.ket accounts & cedificates of deposit)......... (2) U.S. Govemmenl sacurities (3) Corporel6 clebt instruments (other than entployer securilies): (A) Prefened.... (B) All othcr,..,.. (4) Corporate stocks (other lhan employer scculities): (A) Preferred.,., (B) Commor,,,,. (5) Partnershlp4olnt venture interesls ............ (6) Real estate (other than employer real property)............ (7) Loans (other lhan lo particlpants)......,... (8) Parlicipant |oans.................... (9) Value of inlerest ln comimorvcollec{ive trusts -.................... (10) Value of lnterest in pooled separale accounls ..,..."..."." (11) Value of interest in master trusl inveslmsnt accounls ....,..,.......,,..,..,.,... (12) Value of interest ln 103-12 inveslment €ntili€s......-...............,.. ('13) Value of interest ln reglslered inveslment companies {e.9., mutual funds).....".,..,...". (14) Value of funds held in insurance company general account (unallocated cont.acts).,..,...... (15) other.......... 18, 184, 980 LL, 522, 4'10 213, 025, 623 20,780,531 oo2 Financial Information This schedule is required to bs liled under section 104 of lhe Employee Reliremenl lncorne Security Acl of 1974 (ERIS ), and section 6058(a) of lhe lnlornal Ravenue Code (the Code). ) Flle as an allachmenl to Fom 5500. 'l ,365, 01 L7 , 609,'12 196,092,388 ro,964 , l4 For Paperwork Reducllon Act Nollce and OMB conlrol Numbcrs. see the lnslrucilons for Forrn 5500 Schedule H tForm 5500) 201 3 v. 1301'18 Schedulo H (Form 5500) 2013 1301 18 Page 2 1 d Em4oyer-relaled hvestments: (1) Employer securitles...,..,.,...... s h i i k (2) Employer real properly........... Buildings and olher popErty used in plan operation........................ Total assels (add all amounts in lines la through 1e)....,... Llabllltles Benelit clatms payab|e........"...-. OperaUng payables ......,.............. Acquisltion lndebledness...,........- Other liabllllies... lg th 1l 1j 436,352 225,956 1k 436,352 225,956Total liabilitles (add all amounls ln lines 1g throughlj)...,...,.,.....".. Net Assets I Nel assels (subkact line 1 k from line 1 0...................... 2 Plr^ i*"r.Jrp"*.r, -d changes in net assals ror rn. pm rnJrJo urr m"ome anJEi."**f th" pl"rr, i*rrJi"g ;.v r;;ii;ffi r"p"rrt.ly ,rrtGr"J- fund(s) and any paymenls/receipts to/from insurance carriers. Round olf amounts lo the nearest dollar. MTlAs, CCTS, PSAS, and 10$12 lEs do not conrplete linas 2a, 2b(l )(El, 2a. 21, ard 29. e f lncome a Conlribullons: (1) Recoived or receivable in cash from: (A) Enployers.... (B) Participants (C) Olhers (including rollovers)........... {2} f{oncash conlribulions.,,..,,.... (3) Total mntribulions. Add lines 2a(1)(A), (B). (C), and line 2a(2)................. b Eamings on lnvestments: (l) lnteresl: (A) lnterest-boaring cash (indudlng money market accounts and carlifi cates ol deposit).....,... (B) U.S. Govemment securlties........... (C) Corporate debt instrumenls (D) Loans (other than to parllclpanls) (E) Participanl |oans......,.....,..... (F) other...,..... (G) Total interesl. Add llnes 2b(1XA) lhrough (F),.,.,.,. (2) Divldends: (A) Prefened stock......,................ (B) Common stock...,,....,.....,..... (Cl Registered inveslment cornpany shares (e.9. mutual fu nds)............. (D) Tolal dividonds. Add lines 2b(2)(A), (B), and (C) (3) Ren1s........... (4) Net galn (loss) on sale of asscts: (A) Aggrogate procaeds .....,. (B) Aggregate carrying amounl (ses inslruclions) (C) Subtract line 2b(4XB) trom ilne 2b(4XA) and enter resull. (5) Unrealized appredatim (deprecialion)of assets: (A) Real estato........................ (B) Other....,.... (C) Total unrealizcd apprecialion ol assels. Add lines zbl5l(A) and (81.............. (a) Amount Total 2a(1XA)30,911,904 2a(1)(e) 2a(rNcl 2a(21 2a(3)30,977,904 2b(11(A) 2b(1XB) 2btlxc) 2btlxo) 2b(1XE) 2b(1XF) 2b(11(Gl 0 2b(2XA) 2b(2XB) 2b(2xc) 2b(2XD) 2b(3) 2b(cxA) 2b(4XB) 2b(4XC)0 2b(sxA) 2b(5)(B) 2b(sxc)0 {a} Beoinnino of Year {lr) End ofYear rd(1) 1d(2, la 11 226 , B3r, 338 263,513,604 263,28't , 648 Scheduls H (Fom 5600) 2013 130118 Page 3 (6) Net inveslment gah (loss) from cornmonlcollective irusis....,. (7) Netlnveslmentgain(loss)rrompool€dseparatsacoounts.....,,...,..........,. (E) Net investment gain (loss) frorn mastor trust invesunoni accounts........,.,. (0) Netlnvestmenlgain(loss)from103-l2lnveslmenlenUli€s...,,............,..., (10) Nel inveslment galn (loss) fiom registered lnveslment companles (e.9., mutual funds)..... c Other lncome d Tohlincorn€.Addall lncomeanrcuntsincolumn(b)andenterto1a1...,...............,, Expenses e Bensfit paymont and payments to prwlde benefits: (1) Directlytoparliclpantsorbeneliciaries,indudingdlrectrollovers.......,...... (2) TolnsurancecarriersforlheproviEionofbenelits......,............,... (3) Olher..,........ (4) Total b€nefit paym€nts. Add lineE 2s(1) through (3)....................,............. f Correctlva distribuUons (soe lnslruclions) .,,................,.... g Cortalndeemeddisldbutionsofparticlpant loans(seeinslrucUons).........,.,,,.. h lntarest expense...........- I Admlnlstrative oxponses: (l) Professional fees.........,-......... (2) Contract admlnlslrator lees..... (3) lnvestment advisory and management fees.....,.,,,.....,...,,,.., (4) Other........... (5) Total administralive expenses, Ado lines 2i(1) through (4).......,. I Totat gxp6ns€s. Add all expense amounts in column (b) and enter total.,.,,,.. Net lncome and Reconcillatlon k Nel income (loss). Subtract line 2l fran line 2d.....................,...... I Transfersofassels: (1) To thls p|an.........,..,..,.., (2) From thls plan Accountant's 3 Complete lines 3a through 3c if the oplnion o, an independent qualitied public accounlant ls attachsd to thls Form 5500. Cornplele llne 3d if an opinion is nol attach€d. a Th6 altsched oplnion ol an lndependent qualified public accountanl for this plan ls (see inslructions): (a) Amounl Total 2b(6)20 ,'t 30 ,'124 2b(7) 2b(8) 2b(e) 2b(10) 2c 3, 49t t 22L 2d 55,199,849 2e(11 15, 586, i 41 2e(2) 2e{3) 2o(4)15,586,141 2t 29 2h 2r(1)485,863 2r(2) 2r(3)1?3, s61 2l(4)589,369 2(5)l, ?.48 ,7 93 2t 16,834,934 (2) [ | Qualilied (3] $l Oisc]airnet Adverse b Did lhe acmunlant parform a limited scope audit pursuant io 20 CFR 2520.103{ and/o, 103-12(d)? c Enter lho nams and EIN of the accorntant (or ac€o{rndno lirm) below: (l) Name:9JEISERI4AZARS LIP . (2) ErN:1 3- 1 459s 50 d The oplnlon o[ an lndep€ndent qualihed public accounlant ls not 1i1[ rnisrumlsfileaforacct, PSA,orMTIA. (4[attached becaus6: It will be atlached to tho next Form 5500 pursuanl to 29 CFR 2520.104-50, Gom Questlons CCTs and PSAs do not complete Parl lV. MTlAs, 103-12 lEs, and GlAs do not complet€ llnes 4a, 4e, 4f, 49, 4h, 4k,4m,4n, or 5. 103-12 lEs also do not complete lines 4J and 41. MTIAs also do nol complete line 41. During the plan year: Was lhere a failurs to lransmit to th6 plan any parllcipanl conlribuuons wiihin tho tima period described in 29 CFR 2510.3-102? Oonlinue lo answer Yes'for any prior year failures untll fully corrected. (See lnstructions and DOL's Voluntary Fiduciary Conection Program.)..... Were any loans by lhe plan or lix€d income obligalions due the plan in default as of the closo of the plan year or dassified durlng the year as uncolleclible? Disregard padicipanl loans secured by partidpanl's accounl batance. (Attach Sclredule G (Form 5500) Parl I lf Yes" is checked.).......,... Yes No Amount 4a x 4b x e f 5a Hasaresolcrtiontoterminatetheplanbeenadoptedduringtheplanyearoranypriorplanyear? lf'Yes,'enterlheamolrtofanyflanassetsthatre\€rledtotlreemployerthlsyezrr-.--.-........... I Ves Itto Amounti 6b lf, during this plan year. any assels or liabilities vrere lransferred irom this plan to another plan(s), idenlify the plan(s) to t'rhich assets or liabilities vrere transferred. (See lnskuclions.) _ 9.!llLNern: slelan(s) LIBERTY UTILITIljs TVATER) RETIREMENT fp-t3l eN(il Part V ITrust lnformation 6b Trust's EIN Schedule H (Form 5500) a)13 eage4-[ | Were any leases to vrhach the plan r'.las a party in defaull or classilied during lhe year as unoollect ble? (Altach Schedule G (Form 5500) Part ll if Yes'is checked.) Were lhere any nonexempt transactions vrilh any parly-in-inlerest? (Do not lrrclude transactions reporled on line 4a. Atach Schedule G (Fom 5600) Parl lll if 'Yes" is checlGd.).........,. Was lhls plan covered by a lidelity bond?.............,.. Did the plan havE a [oss, v/hether or not reimbulsed by the plan's fidelity bond, lhat v/as caused by fraud or dishonesty? .............. Did the plan hold any assets r,rhose current \alue \,/as neither readily detsrminab{e on an establistpd market rrcr set by an independent third party appraiser?................. Did the plan receive any rrcncash contribulions v/hose \ialue ytas neither readily determinable on an established market mr set by an independent lhird party appraiser?.,.,..... Did the plan have assets held for in'reslntent? (Attach schedule(s) of assets if Yes'is checked, and see instnrciions for formal requhemenls.)...... Were any plan transactions o( series of transactions in excess of 5% of lhc current valuo of pJan assets? (Attach schedule of lransacliors if Yes' ls checked, and see instructions for formal requirements.).... Were afl the plan assets eilher distributed lo parlicipants or beneociaries. lransfe.red lo another plan, or brought under the control of lhe PBGC?.... Has the plan failed lo provide any benefit rvhen due under the plan?....,..,.,,.,.,.. If lhis is an lndlvidual account plan, rvas there a blackout period? (see inslrudions and 29 CFR 2520.1013.)...... lf 4m vras ansvrered Yes," check the 'Yes' box if you either provirled the requked notice or one of the exceplions to providing the mtice applied under 29 cFR 2520.1O'l-3...........-,.,."............ (PINB RLUFT PT,AN 4c Yes *Jr -x ad 4e x x4t 4g 4h v x x 4l _t) lk _il,- 4nr x -L. 4n Amounl ?l*oa9r!!!. I m 71-0080628 5c tf tneplanlsadetinedbenelilplan,isitcoveredunderthePBGCinsuranceprogram(s€eER|SAsection4o2l)?.,,,.fl V". En, E Notdetermined 6a Name of trust SCHEDULE R (Form 5500) Depart nml ol Os Troasury lnlemal Revmuo 8o*lo Oopatu[sl ot Lstff Ergbyes 8ansfi t! Se@illy Admr,llslraIon OMB No. 1210.01,l0 2013 Thls Form ls Open to Putllc lnspecllon. I ves INo Iwo tlotrltil 6$lld For calendar 2013 or fiscal A Name of plan 002 C Plan eponsocs name as shovm on line 2a of Form 5500 (lnitet.l 9Jal-er Resourr:es Inc. Part I I Dlstrlbutlons All references to dlstrlbullons relate only to paymente lhs plan year. 2 Enter lhe EIN(s) of payo(s) wtro pald benetits on behalf of lhe flan to parlidpanls or beneflciades durlng tho year (lf more lhan lwo, enler ElNs ol lhe two payors who pald lho greatest dollar amounts of benelits): EIN(s):r 3-3689044 Profft-sharlng plans, ESOPs, and stock bonus plans, sklp llne 3. 3 Number of parlicipants (lMng or deceased) whose benelits were dislributed In a single sum, during lhe plan Part ll Funding Informalion (lf tho plan is not subject lo the mlnlmum fr.rndhrg requhements of section of 412 of tho lnternal Revenue Code or. -*;,1;;ffii*Hl;1li;jjl;u3 lf the plan ls a deflned bonelit plan, go to llno 8. 5 ll a rvalver of the mlnlmum funding standard for a pdor yoar ls being amorlized in this plan year, seo instrucUons and enter lhe dale of lhe rullng letter granting lhe wal'rer. Date: Month - Day - Year lf you completed llno 5, completo llnes 3, 9, and 10 of Schedule MB and do not completo lhe remainder of this schsdule. a Enter th€ minimum required conlrlbution tor this plan year (nctude any prior year accunulated funding def dency nol rmiycd)...,"......,,,,... b Enter the amount conlributed by the entployer to the ptan for lhls plan year.,...,,..., c Subkact thE amouni in line 0b from the amount in Ine 6a. Enter ho rssult (enter a ntlnus sign lo the lelt ot a negaUve amounl)...,,,,..... lf you completed llne 6c, sklp llnes 8 and 0. Will lhe minlmum lunding amount reporied on line 6c be mot by the funding deadline? 8 lt a ctrange in acluarial cosl melhod was made for thls plan year pursuant to a revenue plocedure or olher aulhority providing adomatic approval for the change or a class rufing lelter, does the plan sponsor or plan adrrdrilslrator aflroo wilh tho Part lll I Amendments I If lhls ls a defined benelit peosion plan, were any amendments adopted during this plan year thal increased or decreased the value of benefits? lf yas, chock lhe applopriate box. llno,checkrhe.No-box,...........,,,,...,."... I tn.r*"e fiDeorcas. I aoft, B ro Part lV ESOPs (see inslructions). lf this is not a plan described under Secrtion 409(a) or 4975(e)(7) of the lntemal Revenue Codo, ihie Part. l0 Wereunallocated securilies or from the sale of unalloceted secudties used to loan? ............. b lf tho ESOP has an outslanding exempt loan with lhe employer as lender. is wch loan part o[ a 'bact-to-back' loan? for dalinilbn of tack-tcback' 12 Ooes lhe ESOP hold afly stock hat Is not lradable on an established securiUos markot?..............." For Paperwork Rsductlon Act Notlco and OMB Control Numbers, see lhe D Employor ldenlificption Number (ElN) 22-2441471 N/AB NoIYesx Retirement Plan lnformation This schedule is required to be filed under seclion 104 and 4005 of the Employee Rstirement lncome Security Acl of 1974 (ER[SA) and seclion 6058(a) of the lnlemal Re,renus Oode (the Code). ) Flle as an altachmenl to Form 5500. B Threedisit plan number v. 130118 Schadula R (Fom 5500) 2013 1301 18 Page 2 - Part V I lnformatlon for Oelined Beneflt Penslon 13 Enler lhe tollo,rrlng lnfomatlbn for each employer that conlributed more lhan 5% ol lotal mnlribullons to the plan during the plan year (measured ln dollars). See lnslruc$ons. Complele as many enlries as noedod lo toport all applicah/o e/xrro!,ers" i Name of conlribuling employer U- b EIN c Dollar amount conldbuted by smployer B Conlributionraleinlormaton (lfmorolhanonerateapptbs,checklhishoxlandseelnskuctlonsregardingrequhedatlachmen?. Olhenvise, @mplele ltnes 13e(1) aN 13e(2).)(1) Contribuum rate (in dollars and cenls) _(2't easeunitmea.ure:ll HourJ.y.._... fl fr]mIf-Tf unitof proouction l-l ot'er(gracify): ._ .._ d Date collectlve bargalnlng agreemen[ ex plres (lf enployer anlribules under more ?han one cotlailw bargaining agreenenl, check boxl and see lnslruclions reqardlnq reoulred allachment. Olherylse, enler lha aanlic*le da(F.) Monlh Day Year it Name of contributing amployar b EtN c Oollar amount conktut€d bv emolover G Conlribulion rate lnformation (/f more than ono rato applios,cneck lhis boxfl and sae lnsbuclions Wading reguipd allachmenl. Ofhen#sc, amplete lines 13e(1) and l3e(2))(1) Conlribution rate (in dollars end oenl$)(2) Base unit measur., [l H*,ry n weskt n Unit of production [l oher (specil'y]: - - - d Date collective bargaining agreemenl explra s (lf employer conkibules nnder more lhan ono colleclive bargatntng agrcemont, check tox[ andseelnslrucllonsftaatdirxrreoulndaltachmen[. Olhenrise. enlerlheadDlknbledate.l Monlh Dav Year I Name of conlributing employor b EIN c Dollar amouflt contdbuted by employer d Date collective bargaining agreement explres (tl enployer conlribule$ under more lhan ana rxllbcliw bargainlng agreenenl, chock boxl and see lnstruclions ft$udinfi rc$uitsd allachmont. Olherulsa. anlot lha aDpllMbls dala.l Monlh Dav Year e Conlribution rale inlormation (lf mue lhan one rale applies, checlr &h box fl and see inslruclions ragading rcqulred attachmenl. Olheuise, oonrplulo lirus t1a{l) dN 13e(2))(11 Conlribution rate {in dollars and c€ntsl izi Baseunitmeasure:f-l uouay n weckly Tl- unitotp.odrJdion [l orner (speorv)r- o Name olconlribulinq emolover g Contribution rato informalion (!t morc lhan one mto applhs,cieck lhis boxfi and see lnstrucllons regardng requirod allacfunent. Olheruiso, anrnplofo iiros l3o{l) and l3e(2).) (l ) Conlrilrution rate (ln dollars and cents) .tz) sas6unitnreasure:fl Houdy f-1. -w-;;l{y::n ujrltofproductim il ourcr(sqgify}:--- - b EIN c Dolar amount conldbuted by employer d Date colhctive bargalntng agreoment €xpfias (tt employor contulbutes nnder more than one altedive hargaining agreemenl, cfieck boxfi and see lns.lgqliogg-19ggg[nglg Year a Name of conlribuUns employer b EIN c Dollar amount conkibuled bv emplover d Date cotlec0ve bargalnlng agreemenl expire s (tl emptoyer conlribules under more lhan one rrllleclive bargaining agaemenl, clt*k boxl and sae rhskuclbns reaardino reoulud allachment. Olheruise. enlar lhe aoolicable datil Monlh Dav Year e Contribulion ralir lnformalion (lI morc lhan one rcle applies,cDeck lhis boxfl and see lnstuclions rcgarding rcquhd attachfient. Otherulse, complete lines fie{fi and 13a(2).)(ll Conlribulion rate lin dotlsrs and c€nts) i,iBasounitmeasure:[lHourlyflw*klyTrUnitofprortucliorr[loUrer(specify):-.. a Namo of oonlributin0 ernployor b EIN c Dollar amount contrikited by emDloyer d Dato collective bargaining agreemenl expke s (tt employer conlribu(es under moro lhan one eolleclfue bargaining agteenanl, check box! and see inslnrclions rmanlina raauhed altachment- Olheruisc.- entet the enolicabre dele.l Monlh Dav Year e Contribution rate intormatbn (/f more lhan one rute appties, checft thh boxI and see inslrucl/o ns regarding rcqutred atlachmenl. Other*ise, camplele llnas 13e(1) and 13e(2).)(1) Conlribulion rato {in dollars and cents) izi Base unit measu,"; l-l nouay n w..kly Tf Unlt of production fl other (speclfy): -- *--* - Schedule R (Form 6500) 201 3 1 301 18 Paqe 3 14 Enter lhe number of participants on whose bohall no contribulions $rere made by an employer as an employer of the participant for: 8 The cunent year......,.........,.............. b The plan year lmmedlately preceding tho curenl plan year,......... 1 5 Enter lfle ralJo ol the number ot parlicipants under lhe plan on whose behall no emptoyer had an obligation to rnake an employer conlrlbution durlng lhe dJr6nl plan y€ar to: a The correspondlng numbsr for lhe plan year lmmediatoly preceding lhe curenl plan year..................,.........." b tne nuntber for lhe second l6 lnfomation wilh ,osp€ct to any employers who wilhdrew from lhe plan durlng lhe preceding plan yearl a Enler lhe number ol emdoyers wlro wilhdrew during lhe preceding plan year b ll line 16a ls gr€ater than 0, enlBr tho aggregale amount of wilhdrawat liabllity assessed or eslimated lo be surh v/iihdrawn l7 tl assets and liabilities ,rom another plan havo been lransfered lo or mergad with lhls plan during tho plan year, dreck box and see insl,uctlons r$garding 18 lf any liebilitlies to panldpanls or their benoficiarios und6r lhe plan as of lho end of the plan year consist (in whole or in part) of llabilities to sudr parllcipanls and beneliciades under hvo or more penslon plans as ot lmmediatety befoB such plan year, check box and see inslructions regarding supplemental 19 lf lhe total number of parlicipants is 1.000 or more, complote linos (a) through (c) a Enter lhe percenlage ofplan assels held as: Real Eslale: 1 5-10 years o/o Olher: ElE!p9t,y1o.efte. [t'r*!'ryq,*u", [M !!g1{ge-e&). Stock: 38 7o lnvestment€rad€ Debt: . 34_70 High-Vald Debt: _13 o/o Provide the average durallon or lhe comblned lnvestrnentgrade and high-yield debi: flo-3years I o-oy".r. S o-spars I s-teyeao fl t2-1sye"rs t] Whot duralion measure was used to calculate line 19{b[ 15 o/o f] te-zt years ! 21 yeurs or mor"