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THE ALLEN & COMPANY 401(K) SAVINGS PLAN 401k Plan overview

Plan NameTHE ALLEN & COMPANY 401(K) SAVINGS PLAN
Plan identification number 002

THE ALLEN & COMPANY 401(K) SAVINGS 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.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ALLEN OPERATIONS LLC has sponsored the creation of one or more 401k plans.

Company Name:ALLEN OPERATIONS LLC
Employer identification number (EIN):134195373
NAIC Classification:523120
NAIC Description:Securities Brokerage

Additional information about ALLEN OPERATIONS LLC

Jurisdiction of Incorporation: California Department of State
Incorporation Date: 0000-00-00
Company Identification Number: C0238742

More information about ALLEN OPERATIONS LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE ALLEN & COMPANY 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0022022-01-01
0022021-01-01
0022020-01-01
0022019-01-01
0022018-01-01
0022017-01-01MARYKATE SULLIVAN MARYKATE SULLIVAN2018-09-28
0022016-01-01MARYKATE SULLIVAN MARYKATE SULLIVAN2017-07-27
0022015-01-01DANIEL BERGER DANIEL BERGER2016-07-07
0022014-01-01MARYKATE WALSH
0022014-01-01MARYKATE WALSH
0022013-01-01MARYKATE WALSH MARYKATE WALSH2014-10-15
0022012-01-01MARYKATE WALSH
0022011-01-01MARYKATE WALSH MARYKATE WALSH2012-10-15
0022009-01-01MARYKATE WALSH MARYKATE WALSH2010-10-14

Plan Statistics for THE ALLEN & COMPANY 401(K) SAVINGS PLAN

401k plan membership statisitcs for THE ALLEN & COMPANY 401(K) SAVINGS PLAN

Measure Date Value
2022: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01339
Total number of active participants reported on line 7a of the Form 55002022-01-01207
Number of retired or separated participants receiving benefits2022-01-0118
Number of other retired or separated participants entitled to future benefits2022-01-01120
Total of all active and inactive participants2022-01-01345
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-012
Total participants2022-01-01347
Number of participants with account balances2022-01-01334
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-0110
2021: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01329
Total number of active participants reported on line 7a of the Form 55002021-01-01207
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-01130
Total of all active and inactive participants2021-01-01337
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-012
Total participants2021-01-01339
Number of participants with account balances2021-01-01327
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-0116
2020: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01329
Total number of active participants reported on line 7a of the Form 55002020-01-01209
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-01118
Total of all active and inactive participants2020-01-01327
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-012
Total participants2020-01-01329
Number of participants with account balances2020-01-01317
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-017
2019: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01325
Total number of active participants reported on line 7a of the Form 55002019-01-01207
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-01120
Total of all active and inactive participants2019-01-01327
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-012
Total participants2019-01-01329
Number of participants with account balances2019-01-01314
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0125
2018: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01328
Total number of active participants reported on line 7a of the Form 55002018-01-01219
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-01104
Total of all active and inactive participants2018-01-01323
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-012
Total participants2018-01-01325
Number of participants with account balances2018-01-01310
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-019
2017: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01319
Total number of active participants reported on line 7a of the Form 55002017-01-01218
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-01108
Total of all active and inactive participants2017-01-01326
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-012
Total participants2017-01-01328
Number of participants with account balances2017-01-01313
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0113
2016: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01319
Total number of active participants reported on line 7a of the Form 55002016-01-01220
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0198
Total of all active and inactive participants2016-01-01318
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-011
Total participants2016-01-01319
Number of participants with account balances2016-01-01302
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-017
2015: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01309
Total number of active participants reported on line 7a of the Form 55002015-01-01217
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-01101
Total of all active and inactive participants2015-01-01318
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-011
Total participants2015-01-01319
Number of participants with account balances2015-01-01296
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0119
2014: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01316
Total number of active participants reported on line 7a of the Form 55002014-01-01220
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0190
Total of all active and inactive participants2014-01-01310
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-012
Total participants2014-01-01312
Number of participants with account balances2014-01-01290
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0116
2013: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01302
Total number of active participants reported on line 7a of the Form 55002013-01-01234
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0185
Total of all active and inactive participants2013-01-01319
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-011
Total participants2013-01-01320
Number of participants with account balances2013-01-01290
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-015
2012: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01300
Total number of active participants reported on line 7a of the Form 55002012-01-01228
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0173
Total of all active and inactive participants2012-01-01301
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-011
Total participants2012-01-01302
Number of participants with account balances2012-01-01272
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-0111
2011: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year2011-01-01291
Total number of active participants reported on line 7a of the Form 55002011-01-01224
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-0175
Total of all active and inactive participants2011-01-01299
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-011
Total participants2011-01-01300
Number of participants with account balances2011-01-01267
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-0111
2009: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year2009-01-01262
Total number of active participants reported on line 7a of the Form 55002009-01-01210
Number of retired or separated participants receiving benefits2009-01-010
Number of other retired or separated participants entitled to future benefits2009-01-0158
Total of all active and inactive participants2009-01-01268
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-011
Total participants2009-01-01269
Number of participants with account balances2009-01-01239
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-010

Financial Data on THE ALLEN & COMPANY 401(K) SAVINGS PLAN

Measure Date Value
2022 : THE ALLEN & COMPANY 401(K) SAVINGS 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$0
Total income from all sources (including contributions)2022-12-31$-12,764,110
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$2,648,394
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$2,647,199
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$4,647,365
Value of total assets at end of year2022-12-31$85,053,604
Value of total assets at beginning of year2022-12-31$100,466,108
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$1,195
Total interest from all sources2022-12-31$17,145
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$5,055,668
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$5,055,668
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$5,000,000
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$3,239,740
Participant contributions at end of year2022-12-31$409,553
Participant contributions at beginning of year2022-12-31$318,644
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$728,767
Administrative expenses (other) incurred2022-12-31$1,195
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-15,412,504
Value of net assets at end of year (total assets less liabilities)2022-12-31$85,053,604
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$100,466,108
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$84,644,051
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$100,147,464
Interest on participant loans2022-12-31$17,145
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-22,484,288
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 contributions2022-12-31No
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$678,858
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$2,647,199
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 name2022-12-31BDO USA, P.C.
Accountancy firm EIN2022-12-31135381590
2021 : THE ALLEN & COMPANY 401(K) SAVINGS 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$15,842,928
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$1,072,703
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$1,072,003
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$3,866,630
Value of total assets at end of year2021-12-31$100,466,108
Value of total assets at beginning of year2021-12-31$85,695,883
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$700
Total interest from all sources2021-12-31$14,580
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$7,992,551
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$7,992,551
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$5,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$3,203,396
Participant contributions at end of year2021-12-31$318,644
Participant contributions at beginning of year2021-12-31$290,290
Income. Received or receivable in cash from other sources (including rollovers)2021-12-31$5,163
Administrative expenses (other) incurred2021-12-31$700
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$14,770,225
Value of net assets at end of year (total assets less liabilities)2021-12-31$100,466,108
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$85,695,883
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$100,147,464
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$85,405,593
Interest on participant loans2021-12-31$14,580
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$3,969,167
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$658,071
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$1,072,003
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 name2021-12-31BDO USA, LLP
Accountancy firm EIN2021-12-31135381590
2020 : THE ALLEN & COMPANY 401(K) SAVINGS 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$17,814,179
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$2,840,279
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$2,839,709
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$3,770,926
Value of total assets at end of year2020-12-31$85,695,883
Value of total assets at beginning of year2020-12-31$70,721,983
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$570
Total interest from all sources2020-12-31$14,179
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$4,514,374
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$4,514,374
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$5,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$2,918,411
Participant contributions at end of year2020-12-31$290,290
Participant contributions at beginning of year2020-12-31$263,246
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$275,169
Administrative expenses (other) incurred2020-12-31$570
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$14,973,900
Value of net assets at end of year (total assets less liabilities)2020-12-31$85,695,883
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$70,721,983
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$85,405,593
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$70,458,737
Interest on participant loans2020-12-31$14,179
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$9,514,700
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$577,346
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$2,839,709
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 name2020-12-31KPMG LLP
Accountancy firm EIN2020-12-31135565207
2019 : THE ALLEN & COMPANY 401(K) SAVINGS 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$16,620,123
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$2,957,736
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$2,957,146
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$3,637,608
Value of total assets at end of year2019-12-31$70,721,983
Value of total assets at beginning of year2019-12-31$57,059,596
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$590
Total interest from all sources2019-12-31$16,524
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$3,415,148
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$3,415,148
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$5,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$3,006,151
Participant contributions at end of year2019-12-31$263,246
Participant contributions at beginning of year2019-12-31$319,988
Administrative expenses (other) incurred2019-12-31$590
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$13,662,387
Value of net assets at end of year (total assets less liabilities)2019-12-31$70,721,983
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$57,059,596
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$70,458,737
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$56,739,608
Interest on participant loans2019-12-31$16,524
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$9,550,843
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$631,457
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$2,957,146
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 name2019-12-31KPMG LLP
Accountancy firm EIN2019-12-31135565207
2018 : THE ALLEN & COMPANY 401(K) SAVINGS 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$1,343,312
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$1,932,749
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$1,932,059
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$3,827,413
Value of total assets at end of year2018-12-31$57,059,596
Value of total assets at beginning of year2018-12-31$57,649,033
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$690
Total interest from all sources2018-12-31$17,873
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$3,942,032
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$3,942,032
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$5,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$2,831,200
Participant contributions at end of year2018-12-31$319,988
Participant contributions at beginning of year2018-12-31$416,943
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$396,652
Administrative expenses (other) incurred2018-12-31$690
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-589,437
Value of net assets at end of year (total assets less liabilities)2018-12-31$57,059,596
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$57,649,033
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$56,739,608
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$57,232,090
Interest on participant loans2018-12-31$17,873
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-6,444,006
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$599,561
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$1,932,059
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 name2018-12-31KPMG LLP
Accountancy firm EIN2018-12-31135565207
2017 : THE ALLEN & COMPANY 401(K) SAVINGS 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$11,912,878
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$634,661
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$633,761
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$3,365,624
Value of total assets at end of year2017-12-31$57,649,033
Value of total assets at beginning of year2017-12-31$46,370,816
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$900
Total interest from all sources2017-12-31$19,708
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$3,117,469
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$3,117,469
Administrative expenses professional fees incurred2017-12-31$300
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$5,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$2,587,574
Participant contributions at end of year2017-12-31$416,943
Participant contributions at beginning of year2017-12-31$431,772
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$220,537
Administrative expenses (other) incurred2017-12-31$600
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$11,278,217
Value of net assets at end of year (total assets less liabilities)2017-12-31$57,649,033
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$46,370,816
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$57,232,090
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$45,939,044
Interest on participant loans2017-12-31$19,708
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$5,410,077
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$557,513
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$633,761
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 name2017-12-31KPMG LLP
Accountancy firm EIN2017-12-31135565207
2016 : THE ALLEN & COMPANY 401(K) SAVINGS 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$6,382,286
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$1,470,289
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$1,469,509
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$3,339,219
Value of total assets at end of year2016-12-31$46,370,816
Value of total assets at beginning of year2016-12-31$41,458,819
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$780
Total interest from all sources2016-12-31$15,805
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$1,550,402
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$1,550,402
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$5,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$2,382,796
Participant contributions at end of year2016-12-31$431,772
Participant contributions at beginning of year2016-12-31$295,213
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$463,026
Administrative expenses (other) incurred2016-12-31$780
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$4,911,997
Value of net assets at end of year (total assets less liabilities)2016-12-31$46,370,816
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$41,458,819
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$45,939,044
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$41,163,606
Interest on participant loans2016-12-31$15,805
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$1,476,860
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$493,397
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$1,469,509
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 name2016-12-31KPMG LLP
Accountancy firm EIN2016-12-31135565207
2015 : THE ALLEN & COMPANY 401(K) SAVINGS 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$3,230,907
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$1,041,846
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,038,236
Value of total corrective distributions2015-12-31$3,260
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$3,392,429
Value of total assets at end of year2015-12-31$41,458,819
Value of total assets at beginning of year2015-12-31$39,269,758
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$350
Total interest from all sources2015-12-31$11,594
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$1,993,319
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$1,993,319
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$5,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Contributions received from participants2015-12-31$2,363,402
Participant contributions at end of year2015-12-31$295,213
Participant contributions at beginning of year2015-12-31$329,371
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$524,286
Administrative expenses (other) incurred2015-12-31$350
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$2,189,061
Value of net assets at end of year (total assets less liabilities)2015-12-31$41,458,819
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$39,269,758
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$41,163,606
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$38,940,387
Interest on participant loans2015-12-31$11,594
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-2,166,435
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$504,741
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,038,236
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 name2015-12-31KPMG LLP
Accountancy firm EIN2015-12-31135565207
2014 : THE ALLEN & COMPANY 401(K) SAVINGS 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$4,725,330
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$2,313,621
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$2,313,021
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$2,993,275
Value of total assets at end of year2014-12-31$39,269,758
Value of total assets at beginning of year2014-12-31$36,858,049
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$600
Total interest from all sources2014-12-31$14,319
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$2,229,174
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$2,229,174
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$5,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Contributions received from participants2014-12-31$2,325,410
Participant contributions at end of year2014-12-31$329,371
Participant contributions at beginning of year2014-12-31$322,596
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$86,075
Administrative expenses (other) incurred2014-12-31$600
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$2,411,709
Value of net assets at end of year (total assets less liabilities)2014-12-31$39,269,758
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$36,858,049
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$38,940,387
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$36,535,453
Interest on participant loans2014-12-31$14,319
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$-511,438
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$581,790
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$2,313,021
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 name2014-12-31KPMG LLP
Accountancy firm EIN2014-12-31135565207
2013 : THE ALLEN & COMPANY 401(K) SAVINGS 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$8,875,606
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$1,471,615
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$1,471,215
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$2,939,368
Value of total assets at end of year2013-12-31$36,858,049
Value of total assets at beginning of year2013-12-31$29,454,058
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$400
Total interest from all sources2013-12-31$14,809
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$1,508,137
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$1,508,137
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$5,000,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Contributions received from participants2013-12-31$2,259,017
Participant contributions at end of year2013-12-31$322,596
Participant contributions at beginning of year2013-12-31$357,486
Participant contributions at end of year2013-12-31$0
Participant contributions at beginning of year2013-12-31$39,500
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$264,279
Administrative expenses (other) incurred2013-12-31$400
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$7,403,991
Value of net assets at end of year (total assets less liabilities)2013-12-31$36,858,049
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$29,454,058
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$36,535,453
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$29,057,072
Interest on participant loans2013-12-31$14,809
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$4,413,292
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$416,072
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$1,471,215
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 name2013-12-31KPMG LLP
Accountancy firm EIN2013-12-31135565207
2012 : THE ALLEN & COMPANY 401(K) SAVINGS 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$5,907,245
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$1,334,307
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,333,707
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$2,701,217
Value of total assets at end of year2012-12-31$29,454,058
Value of total assets at beginning of year2012-12-31$24,881,120
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$600
Total interest from all sources2012-12-31$12,047
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$840,185
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$840,185
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$5,000,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Contributions received from participants2012-12-31$2,383,390
Participant contributions at end of year2012-12-31$357,486
Participant contributions at beginning of year2012-12-31$199,482
Participant contributions at end of year2012-12-31$39,500
Participant contributions at beginning of year2012-12-31$10,500
Administrative expenses (other) incurred2012-12-31$600
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$4,572,938
Value of net assets at end of year (total assets less liabilities)2012-12-31$29,454,058
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$24,881,120
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$29,057,072
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$24,671,138
Interest on participant loans2012-12-31$12,047
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$2,353,796
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 contributions2012-12-31Yes
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$317,827
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,333,707
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 name2012-12-31DELOITTE & TOUCHE LLP
Accountancy firm EIN2012-12-31133891517
2011 : THE ALLEN & COMPANY 401(K) SAVINGS 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$2,102,264
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$343,933
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$336,522
Value of total corrective distributions2011-12-31$7,111
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$2,517,734
Value of total assets at end of year2011-12-31$24,881,120
Value of total assets at beginning of year2011-12-31$23,122,789
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$300
Total interest from all sources2011-12-31$10,678
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$847,567
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$847,567
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$5,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Contributions received from participants2011-12-31$1,802,461
Participant contributions at end of year2011-12-31$199,482
Participant contributions at beginning of year2011-12-31$226,107
Participant contributions at end of year2011-12-31$10,500
Participant contributions at beginning of year2011-12-31$53,487
Income. Received or receivable in cash from other sources (including rollovers)2011-12-31$463,849
Administrative expenses (other) incurred2011-12-31$300
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$1,758,331
Value of net assets at end of year (total assets less liabilities)2011-12-31$24,881,120
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$23,122,789
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$24,671,138
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2011-12-31$22,837,756
Interest on participant loans2011-12-31$10,678
Net investment gain/loss from registered investment companies (e.g. mutual funds)2011-12-31$-1,273,715
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$251,424
Employer contributions (assets) at end of year2011-12-31$0
Employer contributions (assets) at beginning of year2011-12-31$5,439
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$336,522
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 name2011-12-31DELOITTE & TOUCHE LLP
Accountancy firm EIN2011-12-31133891517
2010 : THE ALLEN & COMPANY 401(K) SAVINGS 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$4,900,712
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$1,021,332
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$1,016,655
Value of total corrective distributions2010-12-31$4,077
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$1,889,831
Value of total assets at end of year2010-12-31$23,122,789
Value of total assets at beginning of year2010-12-31$19,243,409
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$600
Total interest from all sources2010-12-31$9,828
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$466,821
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$466,821
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$5,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2010-12-31$0
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Contributions received from participants2010-12-31$1,703,416
Participant contributions at end of year2010-12-31$226,107
Participant contributions at beginning of year2010-12-31$173,358
Participant contributions at end of year2010-12-31$53,487
Participant contributions at beginning of year2010-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2010-12-31$39,127
Administrative expenses (other) incurred2010-12-31$600
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$3,879,380
Value of net assets at end of year (total assets less liabilities)2010-12-31$23,122,789
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$19,243,409
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$22,837,756
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2010-12-31$18,660,988
Value of interest in pooled separate accounts at end of year2010-12-31$0
Value of interest in pooled separate accounts at beginning of year2010-12-31$409,063
Interest on participant loans2010-12-31$9,828
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2010-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2010-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2010-12-31$2,528,934
Net investment gain/loss from pooled separate accounts2010-12-31$5,298
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$147,288
Employer contributions (assets) at end of year2010-12-31$5,439
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$1,016,655
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 name2010-12-31DELOITTE & TOUCHE
Accountancy firm EIN2010-12-31133891517
2009 : THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for THE ALLEN & COMPANY 401(K) SAVINGS PLAN

2022: THE ALLEN & COMPANY 401(K) SAVINGS 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: THE ALLEN & COMPANY 401(K) SAVINGS 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: THE ALLEN & COMPANY 401(K) SAVINGS 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: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2019 form 5500 responses
2019-01-01Type of plan entityMulitple 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: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2018 form 5500 responses
2018-01-01Type of plan entityMulitple 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: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2017 form 5500 responses
2017-01-01Type of plan entityMulitple employer plan
2017-01-01Submission has been amendedNo
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: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2016 form 5500 responses
2016-01-01Type of plan entityMulitple 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: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2015 form 5500 responses
2015-01-01Type of plan entityMulitple 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: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2014 form 5500 responses
2014-01-01Type of plan entityMulitple 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: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2013 form 5500 responses
2013-01-01Type of plan entityMulitple 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: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2012 form 5500 responses
2012-01-01Type of plan entityMulitple 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: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2011 form 5500 responses
2011-01-01Type of plan entityMulitple 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
2009: THE ALLEN & COMPANY 401(K) SAVINGS PLAN 2009 form 5500 responses
2009-01-01Type of plan entityMulitple employer plan
2009-01-01Submission has been amendedNo
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 – InsuranceYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement – InsuranceYes
2009-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number4-29192
Policy instance 1
Insurance contract or identification number4-29192
Number of Individuals Covered0
Insurance policy start date2010-01-01
Insurance policy end date2010-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Are there contracts with allocated funds for individual policies?No
Are there contracts with allocated funds for group deferred annuity?No
Are there contracts with allocated funds for types other than group deferred annuity or individual?No
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Contracts With Unallocated Funds Deposit Administration0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?No
Are there contracts with unallocated funds for contracts of type guaranteed investment?No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
Were dividends or retroactive rate refunds paid in cash?No
Were dividends or retroactive rate refunds paid as a credit?No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No

Potentially related plans

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