?>
Logo

D. E. SHAW & CO. 401(K) PLAN 401k Plan overview

Plan NameD. E. SHAW & CO. 401(K) PLAN
Plan identification number 001

D. E. SHAW & CO. 401(K) PLAN Benefits

401k Plan TypeDefined Contribution Pension
Plan Features/Benefits
  • 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.
  • 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) 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

D. E. SHAW & CO., L.P. has sponsored the creation of one or more 401k plans.

Company Name:D. E. SHAW & CO., L.P.
Employer identification number (EIN):133695715
NAIC Classification:523900

Additional information about D. E. SHAW & CO., L.P.

Jurisdiction of Incorporation: Texas Secretary of State
Incorporation Date: 2008-07-02
Company Identification Number: 0801000135
Legal Registered Office Address: 1166 AVENUE OF THE AMERICAS FL 9

NEW YORK
United States of America (USA)
10036

More information about D. E. SHAW & CO., L.P.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan D. E. SHAW & CO. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01JENNIFER BLITSTEIN YOAV CITRON2018-10-12
0012017-01-01JENNIFER BLITSTEIN
0012016-01-01JENNIFER BLITSTEIN YOAV CITRON2017-10-11
0012015-01-01KAREN PURTELL-FREITAS YOAV CITRON2016-10-14
0012014-01-01KAREN PURTELL-FREITAS YOAV CITRON2015-10-15
0012013-01-01KAREN PURTELL-FREITAS YOAV CITRON2014-10-14
0012012-01-01KAREN PURTELL-FREITAS AVI ABERGEL2013-10-14
0012011-01-01ELLEN M. ANTHONY AVI ABERGEL2012-10-04
0012010-01-01ELLEN M. ANTHONY AVI ABERGEL2011-10-10
0012009-01-01ELLEN M. ANTHONY ELIOT GOLDBERG2010-10-14
0012009-01-01 ELIOT GOLDBERG2010-10-14

Plan Statistics for D. E. SHAW & CO. 401(K) PLAN

401k plan membership statisitcs for D. E. SHAW & CO. 401(K) PLAN

Measure Date Value
2022: D. E. SHAW & CO. 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-011,597
Total number of active participants reported on line 7a of the Form 55002022-01-011,101
Number of retired or separated participants receiving benefits2022-01-011
Number of other retired or separated participants entitled to future benefits2022-01-01678
Total of all active and inactive participants2022-01-011,780
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-011
Total participants2022-01-011,781
Number of participants with account balances2022-01-011,767
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-0172
2021: D. E. SHAW & CO. 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-011,475
Total number of active participants reported on line 7a of the Form 55002021-01-01974
Number of retired or separated participants receiving benefits2021-01-011
Number of other retired or separated participants entitled to future benefits2021-01-01620
Total of all active and inactive participants2021-01-011,595
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-012
Total participants2021-01-011,597
Number of participants with account balances2021-01-011,590
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-0162
2020: D. E. SHAW & CO. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-011,390
Total number of active participants reported on line 7a of the Form 55002020-01-01904
Number of retired or separated participants receiving benefits2020-01-011
Number of other retired or separated participants entitled to future benefits2020-01-01569
Total of all active and inactive participants2020-01-011,474
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-011
Total participants2020-01-011,475
Number of participants with account balances2020-01-011,465
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0156
2019: D. E. SHAW & CO. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-011,311
Total number of active participants reported on line 7a of the Form 55002019-01-01836
Number of retired or separated participants receiving benefits2019-01-011
Number of other retired or separated participants entitled to future benefits2019-01-01553
Total of all active and inactive participants2019-01-011,390
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-011,390
Number of participants with account balances2019-01-011,381
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0150
2018: D. E. SHAW & CO. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-011,231
Total number of active participants reported on line 7a of the Form 55002018-01-01783
Number of retired or separated participants receiving benefits2018-01-011
Number of other retired or separated participants entitled to future benefits2018-01-01527
Total of all active and inactive participants2018-01-011,311
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-011,311
Number of participants with account balances2018-01-011,301
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0149
2017: D. E. SHAW & CO. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-011,157
Total number of active participants reported on line 7a of the Form 55002017-01-01729
Number of retired or separated participants receiving benefits2017-01-011
Number of other retired or separated participants entitled to future benefits2017-01-01501
Total of all active and inactive participants2017-01-011,231
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-011,231
Number of participants with account balances2017-01-011,221
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0155
2016: D. E. SHAW & CO. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-011,086
Total number of active participants reported on line 7a of the Form 55002016-01-01684
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-01473
Total of all active and inactive participants2016-01-011,157
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-011,157
Number of participants with account balances2016-01-011,150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-0146
2015: D. E. SHAW & CO. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-011,046
Total number of active participants reported on line 7a of the Form 55002015-01-01628
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01458
Total of all active and inactive participants2015-01-011,086
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-011,086
Number of participants with account balances2015-01-011,052
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0125
2014: D. E. SHAW & CO. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01959
Total number of active participants reported on line 7a of the Form 55002014-01-01574
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-01472
Total of all active and inactive participants2014-01-011,046
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-011,046
Number of participants with account balances2014-01-011,007
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0116
2013: D. E. SHAW & CO. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01970
Total number of active participants reported on line 7a of the Form 55002013-01-01540
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-01419
Total of all active and inactive participants2013-01-01959
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01959
Number of participants with account balances2013-01-01915
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-0121
2012: D. E. SHAW & CO. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01981
Total number of active participants reported on line 7a of the Form 55002012-01-01541
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-01429
Total of all active and inactive participants2012-01-01970
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01970
Number of participants with account balances2012-01-01918
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0130
2011: D. E. SHAW & CO. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-011,047
Total number of active participants reported on line 7a of the Form 55002011-01-01575
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-01406
Total of all active and inactive participants2011-01-01981
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-01981
Number of participants with account balances2011-01-01937
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0138
2010: D. E. SHAW & CO. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year2010-01-011,078
Total number of active participants reported on line 7a of the Form 55002010-01-01674
Number of retired or separated participants receiving benefits2010-01-010
Number of other retired or separated participants entitled to future benefits2010-01-01373
Total of all active and inactive participants2010-01-011,047
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-010
Total participants2010-01-011,047
Number of participants with account balances2010-01-01972
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-0195
2009: D. E. SHAW & CO. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-011,154
Total number of active participants reported on line 7a of the Form 55002009-01-01836
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-01242
Total of all active and inactive participants2009-01-011,078
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-010
Total participants2009-01-011,078
Number of participants with account balances2009-01-01982
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-0165

Financial Data on D. E. SHAW & CO. 401(K) PLAN

Measure Date Value
2022 : D. E. SHAW & CO. 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-49,870,409
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$8,595,161
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$8,459,219
Value of total corrective distributions2022-12-31$119,112
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$40,835,215
Value of total assets at end of year2022-12-31$463,560,980
Value of total assets at beginning of year2022-12-31$522,026,550
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$16,830
Total interest from all sources2022-12-31$42,612
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$13,997,692
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$13,997,692
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$100,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$28,317,799
Participant contributions at end of year2022-12-31$908,420
Participant contributions at beginning of year2022-12-31$1,109,195
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$4,147,269
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2022-12-31$3,439
Other income not declared elsewhere2022-12-31$8,758
Administrative expenses (other) incurred2022-12-31$16,830
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-58,465,570
Value of net assets at end of year (total assets less liabilities)2022-12-31$463,560,980
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$522,026,550
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$462,652,560
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$520,917,355
Interest on participant loans2022-12-31$42,612
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-104,754,686
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31Yes
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$8,370,147
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$8,455,780
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31ERNST & YOUNG LLP
Accountancy firm EIN2022-12-31346565596
2021 : D. E. SHAW & CO. 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$113,505,613
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$13,025,880
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$12,998,256
Value of total corrective distributions2021-12-31$15,148
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$35,123,986
Value of total assets at end of year2021-12-31$522,026,550
Value of total assets at beginning of year2021-12-31$421,546,817
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$12,476
Total interest from all sources2021-12-31$46,392
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$13,728,399
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$13,728,399
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$100,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$24,663,418
Participant contributions at end of year2021-12-31$1,109,195
Participant contributions at beginning of year2021-12-31$914,177
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$2,637,610
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2021-12-31$5,860
Other income not declared elsewhere2021-12-31$137,978
Administrative expenses (other) incurred2021-12-31$12,476
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$100,479,733
Value of net assets at end of year (total assets less liabilities)2021-12-31$522,026,550
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$421,546,817
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$520,917,355
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$420,448,397
Interest on participant loans2021-12-31$46,392
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$64,468,858
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31No
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$7,822,958
Employer contributions (assets) at beginning of year2021-12-31$184,243
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$12,992,396
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31ERNST & YOUNG LLP
Accountancy firm EIN2021-12-31346565596
2020 : D. E. SHAW & CO. 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$0
Total income from all sources (including contributions)2020-12-31$79,396,590
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$10,406,622
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$10,400,766
Value of total corrective distributions2020-12-31$1,523
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$29,998,418
Value of total assets at end of year2020-12-31$421,546,817
Value of total assets at beginning of year2020-12-31$352,556,849
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$4,333
Total interest from all sources2020-12-31$51,111
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$8,604,204
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$8,604,204
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$100,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$21,613,493
Participant contributions at end of year2020-12-31$914,177
Participant contributions at beginning of year2020-12-31$1,100,637
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$1,450,576
Other income not declared elsewhere2020-12-31$2,805
Administrative expenses (other) incurred2020-12-31$4,333
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$68,989,968
Value of net assets at end of year (total assets less liabilities)2020-12-31$421,546,817
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$352,556,849
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$420,448,397
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$351,295,782
Interest on participant loans2020-12-31$51,111
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$40,740,052
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$6,934,349
Employer contributions (assets) at end of year2020-12-31$184,243
Employer contributions (assets) at beginning of year2020-12-31$160,430
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$10,400,766
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31ERNST & YOUNG LLP
Accountancy firm EIN2020-12-31346565596
2019 : D. E. SHAW & CO. 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2019-12-31$0
Total income from all sources (including contributions)2019-12-31$93,829,083
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$7,040,536
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$7,009,226
Value of total corrective distributions2019-12-31$30,535
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$26,923,836
Value of total assets at end of year2019-12-31$352,556,849
Value of total assets at beginning of year2019-12-31$265,768,302
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$775
Total interest from all sources2019-12-31$48,925
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$8,338,059
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$8,338,059
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$100,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$19,308,649
Participant contributions at end of year2019-12-31$1,100,637
Participant contributions at beginning of year2019-12-31$943,593
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$1,057,792
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2019-12-31$227
Other income not declared elsewhere2019-12-31$23,728
Administrative expenses (other) incurred2019-12-31$775
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$86,788,547
Value of net assets at end of year (total assets less liabilities)2019-12-31$352,556,849
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$265,768,302
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$351,295,782
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$264,528,833
Interest on participant loans2019-12-31$48,925
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$58,494,535
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$6,557,395
Employer contributions (assets) at end of year2019-12-31$160,430
Employer contributions (assets) at beginning of year2019-12-31$295,876
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$7,008,999
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31ERNST & YOUNG LLP
Accountancy firm EIN2019-12-31346565596
2018 : D. E. SHAW & CO. 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$0
Total income from all sources (including contributions)2018-12-31$6,521,704
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$5,848,169
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$5,831,582
Value of total corrective distributions2018-12-31$15,737
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$25,585,784
Value of total assets at end of year2018-12-31$265,768,302
Value of total assets at beginning of year2018-12-31$265,094,767
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$850
Total interest from all sources2018-12-31$39,616
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$6,404,123
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$6,404,123
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$100,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$17,356,556
Participant contributions at end of year2018-12-31$943,593
Participant contributions at beginning of year2018-12-31$983,598
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$2,121,258
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2018-12-31$8,883
Administrative expenses (other) incurred2018-12-31$850
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$673,535
Value of net assets at end of year (total assets less liabilities)2018-12-31$265,768,302
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$265,094,767
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$264,528,833
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$264,111,169
Interest on participant loans2018-12-31$39,616
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-25,507,819
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$6,107,970
Employer contributions (assets) at end of year2018-12-31$295,876
Employer contributions (assets) at beginning of year2018-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$5,822,699
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31ERNST & YOUNG LLP
Accountancy firm EIN2018-12-31346565596
2017 : D. E. SHAW & CO. 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$0
Total income from all sources (including contributions)2017-12-31$62,264,285
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$5,986,681
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$5,980,274
Value of total corrective distributions2017-12-31$5,707
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$23,448,848
Value of total assets at end of year2017-12-31$265,094,767
Value of total assets at beginning of year2017-12-31$208,817,163
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$700
Total interest from all sources2017-12-31$40,614
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$5,113,991
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$5,113,991
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$100,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$16,008,772
Participant contributions at end of year2017-12-31$983,598
Participant contributions at beginning of year2017-12-31$948,075
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$2,074,932
Administrative expenses (other) incurred2017-12-31$700
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$56,277,604
Value of net assets at end of year (total assets less liabilities)2017-12-31$265,094,767
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$208,817,163
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$264,111,169
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$207,869,088
Interest on participant loans2017-12-31$40,614
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$33,660,832
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$5,365,144
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$5,980,274
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31ERNST & YOUNG LLP
Accountancy firm EIN2017-12-31346565596
2016 : D. E. SHAW & CO. 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$0
Total income from all sources (including contributions)2016-12-31$37,844,802
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$6,100,400
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$6,098,213
Value of total corrective distributions2016-12-31$1,487
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$20,226,453
Value of total assets at end of year2016-12-31$208,817,163
Value of total assets at beginning of year2016-12-31$177,072,761
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$700
Total interest from all sources2016-12-31$38,868
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$4,477,017
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$4,477,017
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$100,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$13,556,359
Participant contributions at end of year2016-12-31$948,075
Participant contributions at beginning of year2016-12-31$809,584
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$1,707,656
Other income not declared elsewhere2016-12-31$1,838
Administrative expenses (other) incurred2016-12-31$700
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$31,744,402
Value of net assets at end of year (total assets less liabilities)2016-12-31$208,817,163
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$177,072,761
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$207,869,088
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$176,263,177
Interest on participant loans2016-12-31$38,868
Value of interest in common/collective trusts at beginning of year2016-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$13,100,626
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$4,962,438
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$6,098,213
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31ERNST & YOUNG, LLP
Accountancy firm EIN2016-12-31346565596
2015 : D. E. SHAW & CO. 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$14,414,252
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$7,730,194
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$7,723,380
Value of total corrective distributions2015-12-31$6,089
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$15,795,317
Value of total assets at end of year2015-12-31$177,072,761
Value of total assets at beginning of year2015-12-31$170,388,703
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$725
Total interest from all sources2015-12-31$33,882
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$3,373,783
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$3,373,783
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$100,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$9,977,808
Participant contributions at end of year2015-12-31$809,584
Participant contributions at beginning of year2015-12-31$915,598
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$1,516,487
Other income not declared elsewhere2015-12-31$18,136
Administrative expenses (other) incurred2015-12-31$725
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$6,684,058
Value of net assets at end of year (total assets less liabilities)2015-12-31$177,072,761
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$170,388,703
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$176,263,177
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$135,701,685
Interest on participant loans2015-12-31$33,882
Value of interest in common/collective trusts at end of year2015-12-31$0
Value of interest in common/collective trusts at beginning of year2015-12-31$33,771,420
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-6,204,429
Net investment gain or loss from common/collective trusts2015-12-31$1,397,563
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31No
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$4,301,022
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$7,723,380
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31ERNST & YOUNG, LLP
Accountancy firm EIN2015-12-31346565596
2014 : D. E. SHAW & CO. 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$27,646,306
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$6,602,341
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$6,586,184
Value of total corrective distributions2014-12-31$15,657
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$13,518,579
Value of total assets at end of year2014-12-31$170,388,703
Value of total assets at beginning of year2014-12-31$149,344,738
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$500
Total interest from all sources2014-12-31$30,895
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$2,948,860
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$2,948,860
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$100,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$8,254,411
Participant contributions at end of year2014-12-31$915,598
Participant contributions at beginning of year2014-12-31$632,867
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$1,792,003
Other income not declared elsewhere2014-12-31$261
Administrative expenses (other) incurred2014-12-31$500
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$21,043,965
Value of net assets at end of year (total assets less liabilities)2014-12-31$170,388,703
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$149,344,738
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$135,701,685
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$148,247,513
Interest on participant loans2014-12-31$30,895
Value of interest in common/collective trusts at end of year2014-12-31$33,771,420
Value of interest in common/collective trusts at beginning of year2014-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$8,979,488
Net investment gain or loss from common/collective trusts2014-12-31$2,168,223
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$3,472,165
Employer contributions (assets) at end of year2014-12-31$0
Employer contributions (assets) at beginning of year2014-12-31$464,358
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$6,586,184
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31ERNST & YOUNG, LLP
Accountancy firm EIN2014-12-31346565596
2013 : D. E. SHAW & CO. 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$37,470,282
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$8,519,994
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$8,519,994
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$11,063,322
Value of total assets at end of year2013-12-31$149,344,738
Value of total assets at beginning of year2013-12-31$120,394,450
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$0
Total interest from all sources2013-12-31$26,380
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$2,655,726
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$2,655,726
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$100,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$7,932,709
Participant contributions at end of year2013-12-31$632,867
Participant contributions at beginning of year2013-12-31$702,862
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$619,642
Administrative expenses (other) incurred2013-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$28,950,288
Value of net assets at end of year (total assets less liabilities)2013-12-31$149,344,738
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$120,394,450
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$148,247,513
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$119,691,588
Interest on participant loans2013-12-31$26,380
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$23,724,854
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31No
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$2,510,971
Employer contributions (assets) at end of year2013-12-31$464,358
Employer contributions (assets) at beginning of year2013-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$8,519,994
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31ERNST & YOUNG, LLP
Accountancy firm EIN2013-12-31346565596
2012 : D. E. SHAW & CO. 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$25,913,843
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$10,546,066
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$10,543,595
Value of total corrective distributions2012-12-31$1,971
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$11,375,930
Value of total assets at end of year2012-12-31$120,394,450
Value of total assets at beginning of year2012-12-31$105,026,673
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$500
Total interest from all sources2012-12-31$25,008
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$2,512,585
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$2,512,585
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$100,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$7,728,919
Participant contributions at end of year2012-12-31$702,862
Participant contributions at beginning of year2012-12-31$494,625
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$239,541
Administrative expenses (other) incurred2012-12-31$500
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$15,367,777
Value of net assets at end of year (total assets less liabilities)2012-12-31$120,394,450
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$105,026,673
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$119,691,588
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$104,363,357
Interest on participant loans2012-12-31$25,008
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$12,000,320
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31No
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$3,407,470
Employer contributions (assets) at end of year2012-12-31$0
Employer contributions (assets) at beginning of year2012-12-31$168,691
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$10,543,595
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31ERNST & YOUNG, LLP
Accountancy firm EIN2012-12-31346565596
2011 : D. E. SHAW & CO. 401(K) PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total income from all sources (including contributions)2011-12-31$11,786,171
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$6,248,753
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$6,247,653
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$13,159,587
Value of total assets at end of year2011-12-31$105,026,673
Value of total assets at beginning of year2011-12-31$99,489,255
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$1,100
Total interest from all sources2011-12-31$21,758
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$2,209,654
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2011-12-31$2,209,654
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$100,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$8,522,074
Participant contributions at end of year2011-12-31$494,625
Participant contributions at beginning of year2011-12-31$538,299
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$549,755
Administrative expenses (other) incurred2011-12-31$1,100
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$5,537,418
Value of net assets at end of year (total assets less liabilities)2011-12-31$105,026,673
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$99,489,255
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2011-12-31$104,363,357
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$98,950,956
Interest on participant loans2011-12-31$21,758
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-3,604,828
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Contributions received in cash from employer2011-12-31$4,087,758
Employer contributions (assets) at end of year2011-12-31$168,691
Employer contributions (assets) at beginning of year2011-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$6,247,653
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
Did the plan have assets held for investment2011-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31ERNST & YOUNG, LLP
Accountancy firm EIN2011-12-31346565596
2010 : D. E. SHAW & CO. 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$0
Total income from all sources (including contributions)2010-12-31$28,212,588
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$5,712,726
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$5,711,193
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$15,233,613
Value of total assets at end of year2010-12-31$99,489,255
Value of total assets at beginning of year2010-12-31$76,989,393
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$1,533
Total interest from all sources2010-12-31$29,041
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$1,691,537
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2010-12-31$1,691,537
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$100,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$10,218,118
Participant contributions at end of year2010-12-31$538,299
Participant contributions at beginning of year2010-12-31$525,899
Participant contributions at end of year2010-12-31$0
Participant contributions at beginning of year2010-12-31$11
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$324,920
Administrative expenses (other) incurred2010-12-31$1,533
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$22,499,862
Value of net assets at end of year (total assets less liabilities)2010-12-31$99,489,255
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$76,989,393
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2010-12-31$98,950,956
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$76,301,912
Interest on participant loans2010-12-31$29,041
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$11,258,397
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Contributions received in cash from employer2010-12-31$4,690,575
Employer contributions (assets) at end of year2010-12-31$0
Employer contributions (assets) at beginning of year2010-12-31$161,571
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$5,711,193
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31ERNST & YOUNG, LLP
Accountancy firm EIN2010-12-31346565596

Form 5500 Responses for D. E. SHAW & CO. 401(K) PLAN

2022: D. E. SHAW & CO. 401(K) PLAN 2022 form 5500 responses
2022-01-01Type of plan entityMulitple employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement - TrustYes
2021: D. E. SHAW & CO. 401(K) PLAN 2021 form 5500 responses
2021-01-01Type of plan entityMulitple employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement - TrustYes
2020: D. E. SHAW & CO. 401(K) PLAN 2020 form 5500 responses
2020-01-01Type of plan entityMulitple employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement - TrustYes
2019: D. E. SHAW & CO. 401(K) PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement - TrustYes
2018: D. E. SHAW & CO. 401(K) PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement - TrustYes
2017: D. E. SHAW & CO. 401(K) PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedYes
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement - TrustYes
2016: D. E. SHAW & CO. 401(K) PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedNo
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement - TrustYes
2015: D. E. SHAW & CO. 401(K) PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01Submission has been amendedNo
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement - TrustYes
2014: D. E. SHAW & CO. 401(K) PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01Submission has been amendedNo
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement - TrustYes
2013: D. E. SHAW & CO. 401(K) PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01Submission has been amendedNo
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement - TrustYes
2012: D. E. SHAW & CO. 401(K) PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01Submission has been amendedNo
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement - TrustYes
2011: D. E. SHAW & CO. 401(K) PLAN 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedNo
2011-01-01This submission is the final filingNo
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planNo
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2010: D. E. SHAW & CO. 401(K) PLAN 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedYes
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planNo
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement - TrustYes
2009: D. E. SHAW & CO. 401(K) PLAN 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedYes
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planNo
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

Potentially related plans

Was this data useful?
If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us.

Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer
The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Copyright © Market Footprint Ltd
Contact us   Datalog Company Directory
401k Lookup     VAT Lookup S3