401k Plan data: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN plan

UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 401k Plan overview

Plan Name	UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN
Plan identification number	002

UBS FINANCIAL SERVICES INC. 401(K) PLUS 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.
Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

UBS FINANCIAL SERVICES INC. has sponsored the creation of one or more 401k plans.

Company Name: UBS FINANCIAL SERVICES INC.

Employer identification number (EIN): 132638166

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2015-01-01 MICHAEL O'CONNOR
002 2014-01-01 MICHAEL O'CONNOR
002 2013-01-01 FILED WITH AUTHORIZED SIGNATURE
002 2012-01-01 FILED WITH AUTHORIZED SIGNATURE
002 2011-01-01 LOUIS DIMARIA
002 2009-01-01 ROBERT MCCORMICK ROBERT MCCORMICK 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2015-01-01	MICHAEL O'CONNOR
002	2014-01-01	MICHAEL O'CONNOR
002	2013-01-01	FILED WITH AUTHORIZED SIGNATURE
002	2012-01-01	FILED WITH AUTHORIZED SIGNATURE
002	2011-01-01	LOUIS DIMARIA
002	2009-01-01	ROBERT MCCORMICK	ROBERT MCCORMICK	2010-10-15

Plan Statistics for UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN

401k plan membership statisitcs for UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN

Measure Date Value
2015: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 21,594
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 0
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 0
Number of participants with account balances 2015-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 18,990
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 16,307
Number of retired or separated participants receiving benefits 2014-01-01 8
Number of other retired or separated participants entitled to future benefits 2014-01-01 5,082
Total of all active and inactive participants 2014-01-01 21,397
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 197
Total participants 2014-01-01 21,594
Number of participants with account balances 2014-01-01 19,608
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 526
2013: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 20,895
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 15,945
Number of retired or separated participants receiving benefits 2013-01-01 9
Number of other retired or separated participants entitled to future benefits 2013-01-01 4,556
Total of all active and inactive participants 2013-01-01 20,510
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 183
Total participants 2013-01-01 20,693
Number of participants with account balances 2013-01-01 18,990
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 431
2012: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 21,184
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 15,848
Number of retired or separated participants receiving benefits 2012-01-01 12
Number of other retired or separated participants entitled to future benefits 2012-01-01 4,842
Total of all active and inactive participants 2012-01-01 20,702
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 175
Total participants 2012-01-01 20,877
Number of participants with account balances 2012-01-01 19,156
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 422
2011: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 21,591
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 16,004
Number of retired or separated participants receiving benefits 2011-01-01 14
Number of other retired or separated participants entitled to future benefits 2011-01-01 4,999
Total of all active and inactive participants 2011-01-01 21,017
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 179
Total participants 2011-01-01 21,196
Number of participants with account balances 2011-01-01 19,286
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 398
2009: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 26,060
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 17,323
Number of retired or separated participants receiving benefits 2009-01-01 20
Number of other retired or separated participants entitled to future benefits 2009-01-01 6,001
Total of all active and inactive participants 2009-01-01 23,344
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 180
Total participants 2009-01-01 23,524
Number of participants with account balances 2009-01-01 20,617
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1,733

Measure	Date	Value
2015: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	21,594
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	0
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	0
Number of participants with account balances	2015-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	18,990
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	16,307
Number of retired or separated participants receiving benefits	2014-01-01	8
Number of other retired or separated participants entitled to future benefits	2014-01-01	5,082
Total of all active and inactive participants	2014-01-01	21,397
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	197
Total participants	2014-01-01	21,594
Number of participants with account balances	2014-01-01	19,608
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	526
2013: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	20,895
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	15,945
Number of retired or separated participants receiving benefits	2013-01-01	9
Number of other retired or separated participants entitled to future benefits	2013-01-01	4,556
Total of all active and inactive participants	2013-01-01	20,510
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	183
Total participants	2013-01-01	20,693
Number of participants with account balances	2013-01-01	18,990
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	431
2012: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	21,184
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	15,848
Number of retired or separated participants receiving benefits	2012-01-01	12
Number of other retired or separated participants entitled to future benefits	2012-01-01	4,842
Total of all active and inactive participants	2012-01-01	20,702
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	175
Total participants	2012-01-01	20,877
Number of participants with account balances	2012-01-01	19,156
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	422
2011: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	21,591
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	16,004
Number of retired or separated participants receiving benefits	2011-01-01	14
Number of other retired or separated participants entitled to future benefits	2011-01-01	4,999
Total of all active and inactive participants	2011-01-01	21,017
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	179
Total participants	2011-01-01	21,196
Number of participants with account balances	2011-01-01	19,286
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	398
2009: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	26,060
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	17,323
Number of retired or separated participants receiving benefits	2009-01-01	20
Number of other retired or separated participants entitled to future benefits	2009-01-01	6,001
Total of all active and inactive participants	2009-01-01	23,344
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	180
Total participants	2009-01-01	23,524
Number of participants with account balances	2009-01-01	20,617
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1,733

Financial Data on UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN

Measure	Date	Value
2015 : UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-02-28	$0
Total transfer of assets from this plan	2015-02-28	$2,927,510,573
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-02-28	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-02-28	$3,593,060
Total income from all sources (including contributions)	2015-02-28	$0
Total loss/gain on sale of assets	2015-02-28	$0
Total of all expenses incurred	2015-02-28	$0
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-02-28	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-02-28	$0
Value of total assets at end of year	2015-02-28	$0
Value of total assets at beginning of year	2015-02-28	$2,931,103,633
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-02-28	$0
Total interest from all sources	2015-02-28	$0
Total dividends received (eg from common stock, registered investment company shares)	2015-02-28	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-02-28	No
Was this plan covered by a fidelity bond	2015-02-28	Yes
Value of fidelity bond cover	2015-02-28	$100,000,000
If this is an individual account plan, was there a blackout period	2015-02-28	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-02-28	$0
Were there any nonexempt tranactions with any party-in-interest	2015-02-28	No
Participant contributions at end of year	2015-02-28	$0
Participant contributions at beginning of year	2015-02-28	$30,734,478
Liabilities. Value of operating payables at end of year	2015-02-28	$0
Liabilities. Value of operating payables at beginning of year	2015-02-28	$1,233,616
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-02-28	No
Value of net income/loss	2015-02-28	$0
Value of net assets at end of year (total assets less liabilities)	2015-02-28	$0
Value of net assets at beginning of year (total assets less liabilities)	2015-02-28	$2,927,510,573
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-02-28	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-02-28	No
Were any leases to which the plan was party in default or uncollectible	2015-02-28	No
Value of interest in master investment trust accounts at end of year	2015-02-28	$0
Value of interest in master investment trust accounts at beginning of year	2015-02-28	$2,814,150,951
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-02-28	No
Was there a failure to transmit to the plan any participant contributions	2015-02-28	No
Has the plan failed to provide any benefit when due under the plan	2015-02-28	No
Employer contributions (assets) at end of year	2015-02-28	$0
Employer contributions (assets) at beginning of year	2015-02-28	$86,218,204
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-02-28	Yes
Liabilities. Value of benefit claims payable at end of year	2015-02-28	$0
Liabilities. Value of benefit claims payable at beginning of year	2015-02-28	$2,359,444
Did the plan have assets held for investment	2015-02-28	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-02-28	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-02-28	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-02-28	No
Opinion of an independent qualified public accountant for this plan	2015-02-28	Unqualified
Accountancy firm name	2015-02-28	MITCHELL & TITUS
Accountancy firm EIN	2015-02-28	132781641
2014 : UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$3,193,833
Total transfer of assets from this plan	2014-12-31	$395,167
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$3,593,060
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$1,858,080
Total income from all sources (including contributions)	2014-12-31	$355,698,730
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$198,416,660
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$198,201,934
Expenses. Certain deemed distributions of participant loans	2014-12-31	$90,979
Value of total corrective distributions	2014-12-31	$123,747
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$256,130,640
Value of total assets at end of year	2014-12-31	$2,931,103,633
Value of total assets at beginning of year	2014-12-31	$2,769,287,917
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$0
Total interest from all sources	2014-12-31	$2,053,941
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$100,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$158,168,814
Participant contributions at end of year	2014-12-31	$30,734,478
Participant contributions at beginning of year	2014-12-31	$29,554,453
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$11,791,987
Liabilities. Value of operating payables at end of year	2014-12-31	$1,233,616
Liabilities. Value of operating payables at beginning of year	2014-12-31	$553,544
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$157,282,070
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$2,927,510,573
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$2,767,429,837
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Income. Interest from loans (other than to participants)	2014-12-31	$2,053,941
Value of interest in master investment trust accounts at end of year	2014-12-31	$2,814,150,951
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$2,656,359,783
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$86,169,839
Employer contributions (assets) at end of year	2014-12-31	$86,218,204
Employer contributions (assets) at beginning of year	2014-12-31	$83,373,681
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$198,201,934
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2014-12-31	Yes
Liabilities. Value of benefit claims payable at end of year	2014-12-31	$2,359,444
Liabilities. Value of benefit claims payable at beginning of year	2014-12-31	$1,304,536
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	MITCHELL & TITUS
Accountancy firm EIN	2014-12-31	132781641
2013 : UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$9,175,713
Total transfer of assets from this plan	2013-12-31	$855,540
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$1,858,080
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$1,580,728
Total income from all sources (including contributions)	2013-12-31	$676,215,854
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$192,079,618
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$191,900,294
Expenses. Certain deemed distributions of participant loans	2013-12-31	$159,859
Value of total corrective distributions	2013-12-31	$19,465
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$247,417,614
Value of total assets at end of year	2013-12-31	$2,769,287,917
Value of total assets at beginning of year	2013-12-31	$2,276,554,156
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$0
Total interest from all sources	2013-12-31	$1,406,262
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$100,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$149,412,520
Participant contributions at end of year	2013-12-31	$29,554,453
Participant contributions at beginning of year	2013-12-31	$25,998,364
Participant contributions at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$14,631,413
Liabilities. Value of operating payables at end of year	2013-12-31	$553,544
Liabilities. Value of operating payables at beginning of year	2013-12-31	$592,758
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$484,136,236
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$2,767,429,837
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$2,274,973,428
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Interest on participant loans	2013-12-31	$1,406,262
Value of interest in master investment trust accounts at end of year	2013-12-31	$2,656,359,783
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$2,178,475,212
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$83,373,681
Employer contributions (assets) at end of year	2013-12-31	$83,373,681
Employer contributions (assets) at beginning of year	2013-12-31	$72,080,580
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$191,900,294
Liabilities. Value of benefit claims payable at end of year	2013-12-31	$1,304,536
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$987,970
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	MITCHELL & TITUS
Accountancy firm EIN	2013-12-31	132781641
2012 : UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets to this plan	2012-12-31	$1,694,055
Total transfer of assets from this plan	2012-12-31	$1,203,237
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$1,580,728
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$2,106,388
Total income from all sources (including contributions)	2012-12-31	$477,691,706
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$196,976,911
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$196,976,911
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$221,445,969
Value of total assets at end of year	2012-12-31	$2,276,554,156
Value of total assets at beginning of year	2012-12-31	$1,995,874,203
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$0
Total interest from all sources	2012-12-31	$1,311,368
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$100,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$138,641,125
Participant contributions at end of year	2012-12-31	$25,998,364
Participant contributions at beginning of year	2012-12-31	$22,955,698
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$1,259,645
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$10,724,264
Liabilities. Value of operating payables at end of year	2012-12-31	$592,758
Liabilities. Value of operating payables at beginning of year	2012-12-31	$701,614
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$280,714,795
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$2,274,973,428
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$1,993,767,815
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Interest on participant loans	2012-12-31	$1,311,368
Value of interest in master investment trust accounts at end of year	2012-12-31	$2,178,475,212
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$1,882,493,829
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$72,080,580
Employer contributions (assets) at end of year	2012-12-31	$72,080,580
Employer contributions (assets) at beginning of year	2012-12-31	$89,165,031
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$196,976,911
Liabilities. Value of benefit claims payable at end of year	2012-12-31	$987,970
Liabilities. Value of benefit claims payable at beginning of year	2012-12-31	$1,404,774
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	MITCHELL & TITUS
Accountancy firm EIN	2012-12-31	132781641
2011 : UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$1,717,551
Total transfer of assets from this plan	2011-12-31	$2,785,866
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$2,106,388
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$1,901,439
Total income from all sources (including contributions)	2011-12-31	$136,488,123
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$192,009,123
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$192,009,123
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$230,200,295
Value of total assets at end of year	2011-12-31	$1,995,874,203
Value of total assets at beginning of year	2011-12-31	$2,052,258,569
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$0
Total interest from all sources	2011-12-31	$1,303,251
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$100,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$136,409,284
Participant contributions at end of year	2011-12-31	$22,955,698
Participant contributions at beginning of year	2011-12-31	$22,654,600
Participant contributions at end of year	2011-12-31	$1,259,645
Participant contributions at beginning of year	2011-12-31	$1,273,099
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$4,625,980
Liabilities. Value of operating payables at end of year	2011-12-31	$701,614
Liabilities. Value of operating payables at beginning of year	2011-12-31	$446,810
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-55,521,000
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$1,993,767,815
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$2,050,357,130
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Interest on participant loans	2011-12-31	$1,303,251
Value of interest in master investment trust accounts at end of year	2011-12-31	$1,882,493,829
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$1,945,288,874
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$89,165,031
Employer contributions (assets) at end of year	2011-12-31	$89,165,031
Employer contributions (assets) at beginning of year	2011-12-31	$83,041,996
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$192,009,123
Liabilities. Value of benefit claims payable at end of year	2011-12-31	$1,404,774
Liabilities. Value of benefit claims payable at beginning of year	2011-12-31	$1,454,629
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	MITCHELL & TITUS
Accountancy firm EIN	2011-12-31	132781641
2010 : UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total transfer of assets to this plan	2010-12-31	$833,492
Total transfer of assets from this plan	2010-12-31	$2,007,349
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$1,901,439
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$4,056,785
Total income from all sources (including contributions)	2010-12-31	$415,633,198
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$299,364,716
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$299,364,716
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$222,337,594
Value of total assets at end of year	2010-12-31	$2,052,258,569
Value of total assets at beginning of year	2010-12-31	$1,939,319,290
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total interest from all sources	2010-12-31	$1,468,505
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$100,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$131,493,114
Participant contributions at end of year	2010-12-31	$22,654,600
Participant contributions at beginning of year	2010-12-31	$24,108,351
Participant contributions at end of year	2010-12-31	$1,273,099
Participant contributions at beginning of year	2010-12-31	$1,220,577
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$7,802,484
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$360,238
Liabilities. Value of operating payables at end of year	2010-12-31	$446,810
Liabilities. Value of operating payables at beginning of year	2010-12-31	$741,354
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$116,268,482
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$2,050,357,130
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$1,935,262,505
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Interest on participant loans	2010-12-31	$1,468,505
Value of interest in master investment trust accounts at end of year	2010-12-31	$1,945,288,874
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$1,834,688,303
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$83,041,996
Employer contributions (assets) at end of year	2010-12-31	$83,041,996
Employer contributions (assets) at beginning of year	2010-12-31	$78,941,821
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$299,364,716
Liabilities. Value of benefit claims payable at end of year	2010-12-31	$1,454,629
Liabilities. Value of benefit claims payable at beginning of year	2010-12-31	$3,315,431
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	MITCHELL & TITUS
Accountancy firm EIN	2010-12-31	132781641

Form 5500 Responses for UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN

2015: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	Yes
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: UBS FINANCIAL SERVICES INC. 401(K) PLUS 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: UBS FINANCIAL SERVICES INC. 401(K) PLUS 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: UBS FINANCIAL SERVICES INC. 401(K) PLUS 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 is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	UBS FINANCIAL SERVICES INC.
Employer identification number (EIN):	132638166
NAIC Classification:	523120
NAIC Description:	Securities Brokerage