401k Plan data: SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN plan

SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN
Plan identification number	001

SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

SIGNAL HILL CAPITAL GROUP LLC has sponsored the creation of one or more 401k plans.

Company Name: SIGNAL HILL CAPITAL GROUP LLC

Employer identification number (EIN): 020598010

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Additional information about SIGNAL HILL CAPITAL GROUP LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3523896

More information about SIGNAL HILL CAPITAL GROUP LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 CHRISTINE PEACOCK
001 2013-01-01 CHRISTINE PEACOCK
001 2012-01-01 CHRISTINE PEACOCK
001 2011-01-01 GREGORY ANDREWS 2012-04-09
001 2010-01-01 GREGORY ANDREWS 2011-02-17

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2014-01-01	CHRISTINE PEACOCK
001	2013-01-01	CHRISTINE PEACOCK
001	2012-01-01	CHRISTINE PEACOCK
001	2011-01-01	GREGORY ANDREWS	2012-04-09
001	2010-01-01	GREGORY ANDREWS	2011-02-17

Plan Statistics for SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2014: SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 108
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 61
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 45
Total of all active and inactive participants 2014-01-01 106
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 106
Number of participants with account balances 2014-01-01 104
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 10
2013: SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 92
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 65
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 43
Total of all active and inactive participants 2013-01-01 108
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 108
Number of participants with account balances 2013-01-01 101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 3
2012: SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 100
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 54
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 38
Total of all active and inactive participants 2012-01-01 92
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 92
Number of participants with account balances 2012-01-01 87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 3

Measure	Date	Value
2014: SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	108
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	61
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	45
Total of all active and inactive participants	2014-01-01	106
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	106
Number of participants with account balances	2014-01-01	104
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	10
2013: SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	92
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	65
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	43
Total of all active and inactive participants	2013-01-01	108
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	108
Number of participants with account balances	2013-01-01	101
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	3
2012: SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	100
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	54
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	38
Total of all active and inactive participants	2012-01-01	92
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	92
Number of participants with account balances	2012-01-01	87
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	3

Financial Data on SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2014 : SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$1,389,134
Expenses. Total of all expenses incurred	2014-12-31	$1,004,422
Benefits paid (including direct rollovers)	2014-12-31	$1,003,916
Total plan assets at end of year	2014-12-31	$8,700,747
Total plan assets at beginning of year	2014-12-31	$8,316,035
Value of fidelity bond covering the plan	2014-12-31	$700,000
Total contributions received or receivable from participants	2014-12-31	$641,884
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$317,617
Other income received	2014-12-31	$336,244
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$384,712
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$8,700,747
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$8,316,035
Assets. Value of participant loans	2014-12-31	$60,545
Total contributions received or receivable from employer(s)	2014-12-31	$93,389
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$506
2013 : SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total income from all sources	2013-12-31	$2,157,824
Expenses. Total of all expenses incurred	2013-12-31	$302,301
Benefits paid (including direct rollovers)	2013-12-31	$301,981
Total plan assets at end of year	2013-12-31	$8,316,035
Total plan assets at beginning of year	2013-12-31	$6,460,512
Value of fidelity bond covering the plan	2013-12-31	$700,000
Total contributions received or receivable from participants	2013-12-31	$551,013
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$86,491
Other income received	2013-12-31	$1,462,259
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$1,855,523
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$8,316,035
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$6,460,512
Assets. Value of participant loans	2013-12-31	$66,582
Total contributions received or receivable from employer(s)	2013-12-31	$58,061
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$320
2012 : SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$1,534,513
Expenses. Total of all expenses incurred	2012-12-31	$1,423,884
Benefits paid (including direct rollovers)	2012-12-31	$1,423,142
Total plan assets at end of year	2012-12-31	$6,460,512
Total plan assets at beginning of year	2012-12-31	$6,349,883
Value of fidelity bond covering the plan	2012-12-31	$700,000
Total contributions received or receivable from participants	2012-12-31	$571,478
Contributions received from other sources (not participants or employers)	2012-12-31	$3,791
Other income received	2012-12-31	$940,019
Net income (gross income less expenses)	2012-12-31	$110,629
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$6,460,512
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$6,349,883
Assets. Value of participant loans	2012-12-31	$37,157
Total contributions received or receivable from employer(s)	2012-12-31	$19,225
Value of corrective distributions	2012-12-31	$179
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$563
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0

Form 5500 Responses for SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN

2014: SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: SIGNAL HILL CAPITAL GROUP LLC 401(K) PROFIT SHARING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SIGNAL HILL CAPITAL GROUP LLC
Employer identification number (EIN):	020598010
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3523896